Recent SEC News

March 22, 2019

Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs

Full Article

March 20, 2019

SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds

Full Article

March 20, 2019

SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure

Full Article

March 18, 2019

Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office

Full Article

March 15, 2019

SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client

Full Article

March 15, 2019

SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets

Full Article

March 14, 2019

SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During “Clean Diesel” Emissions Fr

Full Article

March 14, 2019

Jason J. Burt Named Associate Regional Director for Enforcement in SEC’s Denver Office

Full Article

March 13, 2019

Wedbush Settles Failure to Supervise Charge

Full Article

March 12, 2019

SEC Announces March 28 Meeting of Investor Advisory Committee

Full Article

March 12, 2019

Fee Rate Advisory #2 for Fiscal Year 2019

Full Article

March 12, 2019

SEC Charges Lumber Liquidators With Fraud

Full Article

March 11, 2019

SEC Share Class Initiative Returning More Than $125 Million to Investors

Full Article

March 06, 2019

Mobile TeleSystems Settles FCPA Violations

Full Article

March 05, 2019

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokera

Full Article

March 01, 2019

SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker

Full Article

February 28, 2019

SEC Names Gabriel Benincasa As Its First Chief Risk Officer

Full Article

February 27, 2019

SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Manage

Full Article

February 26, 2019

SEC Names Vanessa Countryman Acting Secretary

Full Article

February 26, 2019

Brent J. Fields Named Associate Director in the Division of Investment Management

Full Article

February 26, 2019

SEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis

Full Article

February 26, 2019

SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors

Full Article

February 21, 2019

Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant

Full Article

February 21, 2019

SEC Names James P. McNamara as Chief Human Capital Officer

Full Article

February 20, 2019

SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud

Full Article

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Automat:ee

Merrill Lynch to Pay Over $8 Million for Improper Handling of ADRs already exists.

Entry updated

SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds already exists.

Entry updated

SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure already exists.

Entry updated

Justin C. Jeffries Named Associate Regional Director for Enforcement in Atlanta Office already exists.

Entry updated

SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client already exists.

Entry updated

SEC Staff to Hold Fintech Forum to Discuss Distributed Ledger Technology and Digital Assets already exists.

Entry updated

SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud already exists.

Entry updated

Jason J. Burt Named Associate Regional Director for Enforcement in SEC's Denver Office already exists.

Entry updated

Wedbush Settles Failure to Supervise Charge already exists.

Entry updated

SEC Announces March 28 Meeting of Investor Advisory Committee already exists.

Entry updated

Fee Rate Advisory #2 for Fiscal Year 2019 already exists.

Entry updated

SEC Charges Lumber Liquidators With Fraud already exists.

Entry updated

SEC Share Class Initiative Returning More Than $125 Million to Investors already exists.

Entry updated

Mobile TeleSystems Settles FCPA Violations already exists.

Entry updated

BB&T to Return More Than $5 Million to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements already exists.

Entry updated

SEC Celebrates African American History Month with Presentation by Award-Winning Filmmaker already exists.

Entry updated

SEC Names Gabriel Benincasa As Its First Chief Risk Officer already exists.

Entry updated

SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align With Its Approach to Data Management and Cybersecurity already exists.

Entry updated

SEC Names Vanessa Countryman Acting Secretary already exists.

Entry updated

Brent J. Fields Named Associate Director in the Division of Investment Management already exists.

Entry updated

SEC Names S.P. Kothari as Chief Economist and Director of the Division of Economic and Risk Analysis already exists.

Entry updated

SEC Halts South Florida Alternative Investments Scheme Targeting Retail Investors already exists.

Entry updated

Giles Cohen Named Acting Chief Counsel, Office of the Chief Accountant already exists.

Entry updated

SEC Names James P. McNamara as Chief Human Capital Officer already exists.

Entry updated

SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud already exists.

Entry updated

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