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SEC Press Releases
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SEC Press Releases
17
Nov
SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest
SEC Press Releases
56
31
2711
Read more
15
Nov
Charter Communications to Pay $25 Million Penalty for Unauthorized Stock Buybacks
SEC Press Releases
22
44
3032
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15
Nov
SEC Announces Enforcement Results for Fiscal Year 2023
SEC Press Releases
54
48
4275
Read more
10
Nov
SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors
SEC Press Releases
88
64
4766
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03
Nov
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
SEC Press Releases
42
69
1981
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03
Nov
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
SEC Press Releases
70
27
2199
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02
Nov
SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
SEC Press Releases
45
85
4449
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01
Nov
SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities
SEC Press Releases
66
74
1374
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01
Nov
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
SEC Press Releases
60
56
3123
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31
Oct
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
SEC Press Releases
62
81
3143
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25
Oct
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
SEC Press Releases
56
67
2674
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18
Oct
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
SEC Press Releases
43
77
3644
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18
Oct
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
SEC Press Releases
70
50
2365
Read more
17
Oct
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
SEC Press Releases
55
84
3614
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16
Oct
SEC Division of Examinations Announces 2024 Priorities
SEC Press Releases
90
47
1598
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13
Oct
SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection
SEC Press Releases
27
24
1560
Read more
13
Oct
SEC Adopts Rule to Increase Transparency in the Securities Lending Market
SEC Press Releases
49
59
3190
Read more
11
Oct
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
SEC Press Releases
74
79
2626
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