SEC Press Releases

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11Nov

SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme

SEC Press Releases  53 37 2455

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08Nov

SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role

SEC Press Releases  62 91 1216

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07Nov

Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of Examinations

SEC Press Releases  59 58 3042

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04Nov

SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million Fraud

SEC Press Releases  77 36 2028

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03Nov

SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme that Targeted Muslim Community

SEC Press Releases  25 81 4547

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02Nov

SEC Proposes Enhancements to Open-End Fund Liquidity Framework

SEC Press Releases  91 94 1566

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02Nov

SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers

SEC Press Releases  35 43 1204

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31Oct

SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme

SEC Press Releases  90 33 2321

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31Oct

SEC Awards More Than $10 Million to Whistleblower

SEC Press Releases  24 71 4841

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27Oct

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

SEC Press Releases  76 35 1660

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26Oct

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers

SEC Press Releases  71 23 2507

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26Oct

SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund Advertisements

SEC Press Releases  66 63 2006

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26Oct

SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules

SEC Press Releases  66 56 3713

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25Oct

SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting Fraud

SEC Press Releases  79 90 2373

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24Oct

SEC Names Jason J. Burt as Regional Director of the Denver Office

SEC Press Releases  30 33 1198

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22Oct

SEC Charges Mattel with Financial Misstatements and Former PwC Audit Partner with Improper Professional Conduct

SEC Press Releases  88 52 1208

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13Oct

New Jersey Real Estate Development Firm and Four Executives Charged With $600 Million Ponzi-like Fraud

SEC Press Releases  66 73 1080

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12Oct

SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements for Security-Based Swap Entities

SEC Press Releases  55 44 2384

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