Recent SEC News

July 19, 2019

SEC Charges Engine Manufacturing Company Executives With Accounting Fraud

Full Article

July 18, 2019

SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors

Full Article

July 18, 2019

SEC Charges Portfolio Manager with Mispricing Fund Investments

Full Article

July 18, 2019

SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud

Full Article

July 16, 2019

Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million

Full Article

July 15, 2019

SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments

Full Article

July 15, 2019

Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges

Full Article

July 12, 2019

SEC Charges Securities Lawyer and Microcap Agent with Fraud

Full Article

July 12, 2019

SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transit

Full Article

July 12, 2019

SEC Monitoring Impact of Tropical Storm Barry on Capital Markets

Full Article

July 11, 2019

SEC Investor Advisory Committee to Meet on July 25

Full Article

July 10, 2019

SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme

Full Article

July 09, 2019

CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Fut

Full Article

July 09, 2019

Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule

Full Article

July 09, 2019

SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee

Full Article

July 09, 2019

Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC

Full Article

July 09, 2019

Allison Herren Lee Sworn In As SEC Commissioner

Full Article

July 03, 2019

SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financi

Full Article

July 03, 2019

John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency

Full Article

July 03, 2019

SEC Names Sagar Teotia As Chief Accountant

Full Article

July 02, 2019

SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our P

Full Article

July 01, 2019

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month

Full Article

July 01, 2019

SEC Charges Investment Adviser With Fraud

Full Article

June 27, 2019

State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses

Full Article

June 26, 2019

SEC Charges New Defendant in $43 Million Tribal Bonds Scheme

Full Article

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Automat:ee

SEC Charges Engine Manufacturing Company Executives With Accounting Fraud already exists.

Entry updated

SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors already exists.

Entry updated

SEC Charges Portfolio Manager with Mispricing Fund Investments already exists.

Entry updated

SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud already exists.

Entry updated

Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million already exists.

Entry updated

SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments already exists.

Entry updated

Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges already exists.

Entry updated

SEC Charges Securities Lawyer and Microcap Agent with Fraud already exists.

Entry updated

SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR already exists.

Entry updated

SEC Monitoring Impact of Tropical Storm Barry on Capital Markets already exists.

Entry updated

SEC Investor Advisory Committee to Meet on July 25 already exists.

Entry updated

SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme already exists.

Entry updated

CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products already exists.

Entry updated

Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule already exists.

Entry updated

SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee already exists.

Entry updated

Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC already exists.

Entry updated

Allison Herren Lee Sworn In As SEC Commissioner already exists.

Entry updated

SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products already exists.

Entry updated

John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency already exists.

Entry updated

SEC Names Sagar Teotia As Chief Accountant already exists.

Entry updated

SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements already exists.

Entry updated

SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month already exists.

Entry updated

SEC Charges Investment Adviser With Fraud already exists.

Entry updated

State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses already exists.

Entry updated

SEC Charges New Defendant in $43 Million Tribal Bonds Scheme already exists.

Entry updated

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