SEC Press Releases

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20Sep

Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers

SEC Press Releases  32 38 1296

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20Sep

Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering

SEC Press Releases  47 89 1746

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20Sep

SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21

SEC Press Releases  21 27 3963

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20Sep

Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks

SEC Press Releases  35 99 3057

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16Sep

SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations

SEC Press Releases  41 100 2865

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15Sep

SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule

SEC Press Releases  76 44 2105

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14Sep

SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market

SEC Press Releases  33 38 3348

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13Sep

SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law

SEC Press Releases  50 62 1913

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13Sep

SEC Charges VMware with Misleading Investors by Obscuring Financial Performance

SEC Press Releases  84 66 3939

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12Sep

SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability

SEC Press Releases  51 82 1352

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10Sep

SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services

SEC Press Releases  80 50 1462

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09Sep

SEC Adopts JOBS Act Inflation Adjustments

SEC Press Releases  40 92 5000

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09Sep

SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both

SEC Press Releases  25 26 1193

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07Sep

SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest

SEC Press Releases  23 91 1916

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03Sep

SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees

SEC Press Releases  82 21 2645

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31Aug

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million

SEC Press Releases  35 71 3181

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27Aug

SEC Issues First Fee Rate Advisory for Fiscal Year 2023

SEC Press Releases  62 24 2912

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27Aug

SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips

SEC Press Releases  37 26 4761

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