Published date grouping: September 2019
Date: Sept. 18, 2019
Title: SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
Release No.: 2019-181
Published date grouping: September 2019
Date: Sept. 18, 2019
Title: SEC Halts Alleged $125 Million Offering Fraud
Release No.: 2019-180
Published date grouping: September 2019
Date: Sept. 17, 2019
Title: SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
Release No.: 2019-179
Published date grouping: September 2019
Date: Sept. 17, 2019
Title: Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
Release No.: 2019-178
Published date grouping: September 2019
Date: Sept. 16, 2019
Title: Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
Release No.: 2019-177
Published date grouping: September 2019
Date: Sept. 16, 2019
Title: SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
Release No.: 2019-176
Published date grouping: September 2019
Date: Sept. 16, 2019
Title: SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
Release No.: 2019-175
Published date grouping: September 2019
Date: Sept. 11, 2019
Title: James M. Daly, Division of Corporation Finance Associate Director, to Retire from the SEC After More Than 38 Years of Service
Release No.: 2019-174
Published date grouping: September 2019
Date: Sept. 9, 2019
Title: SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
Release No.: 2019-173
Published date grouping: September 2019
Date: Sept. 9, 2019
Title: Chandler Smith Costello Named Deputy Director for Public Affairs
Release No.: 2019-172
Published date grouping: September 2019
Date: Sept. 4, 2019
Title: SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
Release No.: 2019-171
Published date grouping: September 2019
Date: Sept. 3, 2019
Title: SEC Names Monique Winkler as Associate Regional Director in San Francisco Office
Release No.: 2019-170
Published date grouping: August 2019
Date: Aug. 30, 2019
Title: SEC Monitoring Impact of Hurricane Dorian on Capital Markets
Release No.: 2019-169
Published date grouping: August 2019
Date: Aug. 29, 2019
Title: SEC Shuts Down $300 Million Fraud Perpetrated by San Diego Company and Its Principal
Release No.: 2019-168
Published date grouping: August 2019
Date: Aug. 29, 2019
Title: SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players
Release No.: 2019-167
Published date grouping: August 2019
Date: Aug. 29, 2019
Title: SEC Charges Private Lender and CEO with Fraudulent Mismarking Scheme
Release No.: 2019-166
Published date grouping: August 2019
Date: Aug. 29, 2019
Title: SEC Awards More Than $1.8 Million to Whistleblower
Release No.: 2019-165
Published date grouping: August 2019
Date: Aug. 29, 2019
Title: SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange
Release No.: 2019-164
Published date grouping: August 2019
Date: Aug. 29, 2019
Title: SEC Investor Advisory Committee to Meet on Sept. 19
Release No.: 2019-163
Published date grouping: August 2019
Date: Aug. 27, 2019
Title: SEC Obtains Emergency Asset Freeze, Charges Pennsylvania Investment Adviser with $100 Million Fraud
Release No.: 2019-162
Published date grouping: August 2019
Date: Aug. 27, 2019
Title: RSM US LLP Charged With Violating Auditor Independence Rules
Release No.: 2019-161
Published date grouping: August 2019
Date: Aug. 23, 2019
Title: Fee Rate Advisory #1 for Fiscal Year 2020
Release No.: 2019-160
Published date grouping: August 2019
Date: Aug. 21, 2019
Title: SEC Charges Broker-Dealer and CEO With Supervision Failures Related to Hedge Fund Valuation Scheme
Release No.: 2019-159
Published date grouping: August 2019
Date: Aug. 21, 2019
Title: SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice
Release No.: 2019-158
Published date grouping: August 2019
Date: Aug. 20, 2019
Title: SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets
Release No.: 2019-157
Published date grouping: August 2019
Date: Aug. 20, 2019
Title: SEC Charges TherapeuticsMD With Regulation FD Violations
Release No.: 2019-156
Published date grouping: August 2019
Date: Aug. 16, 2019
Title: Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
Release No.: 2019-155
Published date grouping: August 2019
Date: Aug. 15, 2019
Title: SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
Release No.: 2019-154
Published date grouping: August 2019
Date: Aug. 15, 2019
Title: SEC Releases Videos for Investors on Choosing and Working with a Financial Professional
Release No.: 2019-153
Published date grouping: August 2019
Date: Aug. 14, 2019
Title: SEC Wins Jury Trial Against Broker Charged with Insider Trading
Release No.: 2019-152
Published date grouping: August 2019
Date: Aug. 14, 2019
Title: SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors
Release No.: 2019-151
Published date grouping: August 2019
Date: Aug. 13, 2019
Title: SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme
Release No.: 2019-150
Published date grouping: August 2019
Date: Aug. 12, 2019
Title: SEC Charges Investment Banking Analyst with Insider Trading
Release No.: 2019-149
Published date grouping: August 2019
Date: Aug. 8, 2019
Title: SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K
Release No.: 2019-148
Published date grouping: August 2019
Date: Aug. 8, 2019
Title: SEC Investor Advisory Committee to Hold Telephone Meeting on Sept. 5
Release No.: 2019-147
Published date grouping: August 2019
Date: Aug. 7, 2019
Title: SEC Announces Agenda and Panelists for 2019 Small Business Forum in Omaha
Release No.: 2019-146
Published date grouping: August 2019
Date: Aug. 7, 2019
Title: SEC Adopts Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.: 2019-145
Published date grouping: August 2019
Date: Aug. 5, 2019
Title: SEC Chairman Clayton Announces Event for Main Street Investors in Chicago
Release No.: 2019-144
Published date grouping: August 2019
Date: Aug. 1, 2019
Title: SEC Charges Brixmor Property Group Inc. and Former Senior Executives with Accounting Fraud
Release No.: 2019-143
Published date grouping: July 2019
Date: July 29, 2019
Title: Robert A. Cohen, Cyber Unit Chief, to Leave SEC After 15 Years of Service
Release No.: 2019-142
Published date grouping: July 2019
Date: July 25, 2019
Title: SEC Issues Agenda for July 29 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2019-141
Published date grouping: July 2019
Date: July 24, 2019
Title: Facebook to Pay $100 Million for Misleading Investors About the Risks It Faced From Misuse of User Data
Release No.: 2019-140
Published date grouping: July 2019
Date: July 23, 2019
Title: Emily Westerberg Russell Named Chief Counsel of Division of Trading and Markets
Release No.: 2019-139
Published date grouping: July 2019
Date: July 23, 2019
Title: SEC Awards Half-Million Dollars to Overseas Whistleblower
Release No.: 2019-138
Published date grouping: July 2019
Date: July 19, 2019
Title: SEC Charges Engine Manufacturing Company Executives With Accounting Fraud
Release No.: 2019-137
Published date grouping: July 2019
Date: July 18, 2019
Title: SEC Obtains Asset Freeze in Microcap Pump and Dump Scheme Targeting Elderly Retail Investors
Release No.: 2019-136
Published date grouping: July 2019
Date: July 18, 2019
Title: SEC Charges Portfolio Manager with Mispricing Fund Investments
Release No.: 2019-135
Published date grouping: July 2019
Date: July 18, 2019
Title: SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
Release No.: 2019-134
Published date grouping: July 2019
Date: July 16, 2019
Title: Former REIT Manager and Executives to Settle SEC Charges for More Than $60 Million
Release No.: 2019-133
Published date grouping: July 2019
Date: July 15, 2019
Title: SEC and NASAA Explain Application of Securities Laws to Opportunity Zone Investments
Release No.: 2019-132
Published date grouping: July 2019
Date: July 15, 2019
Title: Nomura to Pay Misled Bond Customers $25 Million to Settle SEC Charges
Release No.: 2019-131
Published date grouping: July 2019
Date: July 12, 2019
Title: SEC Charges Securities Lawyer and Microcap Agent with Fraud
Release No.: 2019-130
Published date grouping: July 2019
Date: July 12, 2019
Title: SEC Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR
Release No.: 2019-129
Published date grouping: July 2019
Date: July 12, 2019
Title: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets
Release No.: 2019-128
Published date grouping: July 2019
Date: July 11, 2019
Title: SEC Investor Advisory Committee to Meet on July 25
Release No.: 2019-127
Published date grouping: July 2019
Date: July 10, 2019
Title: SEC Charges Accountant and Friend in $6.2 Million Insider Trading Scheme
Release No.: 2019-126
Published date grouping: July 2019
Date: July 9, 2019
Title: CFTC and SEC Invite Public Comment on a Joint Proposal to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
Release No.: 2019-125
Published date grouping: July 2019
Date: July 9, 2019
Title: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker Rule
Release No.: 2019-124
Published date grouping: July 2019
Date: July 9, 2019
Title: SEC Announces August 13 Meeting of Small Business Capital Formation Advisory Committee
Release No.: 2019-123
Published date grouping: July 2019
Date: July 9, 2019
Title: Julie A. Erhardt, Deputy Chief Accountant, to Leave the SEC
Release No.: 2019-122
Published date grouping: July 2019
Date: July 9, 2019
Title: Allison Herren Lee Sworn In As SEC Commissioner
Release No.: 2019-121
Published date grouping: July 2019
Date: July 3, 2019
Title: SEC Proposes to Align Margin Requirements for Security Futures With Requirements for Similar Financial Products
Release No.: 2019-120
Published date grouping: July 2019
Date: July 3, 2019
Title: John Berry, Associate Regional Director in Los Angeles Office, to Leave Agency
Release No.: 2019-119
Published date grouping: July 2019
Date: July 3, 2019
Title: SEC Names Sagar Teotia As Chief Accountant
Release No.: 2019-118
Published date grouping: July 2019
Date: July 2, 2019
Title: SEC Staff to Host July 18 Roundtable on Short-Term / Long-Term Management of Public Companies, Our Periodic Reporting System and Regulatory Requirements
Release No.: 2019-117
Published date grouping: July 2019
Date: July 1, 2019
Title: SEC Reflects 50 Years After Stonewall, Celebrates LGBT Pride Month
Release No.: 2019-116
Published date grouping: July 2019
Date: July 1, 2019
Title: SEC Charges Investment Adviser With Fraud
Release No.: 2019-115
Published date grouping: June 2019
Date: June 27, 2019
Title: State Street Settles SEC Charges for Adding Undisclosed Markups on Client Expenses
Release No.: 2019-114
Published date grouping: June 2019
Date: June 26, 2019
Title: SEC Charges New Defendant in $43 Million Tribal Bonds Scheme
Release No.: 2019-113
Published date grouping: June 2019
Date: June 26, 2019
Title: Chairman Clayton Highlights New Members of Executive Staff
Release No.: 2019-112
Published date grouping: June 2019
Date: June 26, 2019
Title: SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
Release No.: 2019-111
Published date grouping: June 2019
Date: June 26, 2019
Title: SEC Names Bryan Wood as Deputy Chief of Staff
Release No.: 2019-110
Published date grouping: June 2019
Date: June 26, 2019
Title: SEC Names Sean Memon as Chief of Staff
Release No.: 2019-109
Published date grouping: June 2019
Date: June 26, 2019
Title: SEC Chief of Staff Lucas Moskowitz to Leave the Agency
Release No.: 2019-108
Published date grouping: June 2019
Date: June 24, 2019
Title: SEC Names Vanessa Countryman to Lead the Office of the Secretary
Release No.: 2019-107
Published date grouping: June 2019
Date: June 24, 2019
Title: Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
Release No.: 2019-106
Published date grouping: June 2019
Date: June 21, 2019
Title: SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
Release No.: 2019-105
Published date grouping: June 2019
Date: June 20, 2019
Title: SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
Release No.: 2019-104
Published date grouping: June 2019
Date: June 20, 2019
Title: SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
Release No.: 2019-103
Published date grouping: June 2019
Date: June 20, 2019
Title: Walmart Charged With FCPA Violations
Release No.: 2019-102
Published date grouping: June 2019
Date: June 20, 2019
Title: SEC Freezes Assets in International Manipulative Trading Scheme
Release No.: 2019-101
Published date grouping: June 2019
Date: June 19, 2019
Title: SEC Chairman Clayton Announces Events for Main Street Investors in Boston
Release No.: 2019-100
Published date grouping: June 2019
Date: June 18, 2019
Title: Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
Release No.: 2019-99
Published date grouping: June 2019
Date: June 18, 2019
Title: SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
Release No.: 2019-98
Published date grouping: June 2019
Date: June 18, 2019
Title: SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
Release No.: 2019-97
Published date grouping: June 2019
Date: June 17, 2019
Title: SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
Release No.: 2019-96
Published date grouping: June 2019
Date: June 17, 2019
Title: KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
Release No.: 2019-95
Published date grouping: June 2019
Date: June 14, 2019
Title: Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
Release No.: 2019-94
Published date grouping: June 2019
Date: June 12, 2019
Title: SEC Announces 2019 Government-Business Forum to Be Held in Omaha
Release No.: 2019-93
Published date grouping: June 2019
Date: June 10, 2019
Title: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2019-92
Published date grouping: June 2019
Date: June 6, 2019
Title: David Peavler Named Director of Fort Worth Office
Release No.: 2019-91
Published date grouping: June 2019
Date: June 5, 2019
Title: SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
Release No.: 2019-90
Published date grouping: June 2019
Date: June 5, 2019
Title: SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
Release No.: 2019-89
Published date grouping: June 2019
Date: June 4, 2019
Title: Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
Release No.: 2019-88
Published date grouping: June 2019
Date: June 4, 2019
Title: SEC Charges Issuer With Conducting $100 Million Unregistered ICO
Release No.: 2019-87
Published date grouping: June 2019
Date: June 4, 2019
Title: Hedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets
Release No.: 2019-86
Published date grouping: June 2019
Date: June 3, 2019
Title: SEC Announces Enforcement and Investor Education Initiatives to Protect Teachers and Military Service Members
Release No.: 2019-85
Published date grouping: June 2019
Date: June 3, 2019
Title: SEC Seeks Emergency Relief to Halt Ponzi Scheme Run From College Fraternity House
Release No.: 2019-84
Published date grouping: June 2019
Date: June 3, 2019
Title: Ahmed Abonamah Named Deputy Director of the Office of Municipal Securities
Release No.: 2019-83
Published date grouping: June 2019
Date: June 3, 2019
Title: SEC Announces Kevin Zerrusen as Senior Advisor to the Chairman for Cybersecurity Policy
Release No.: 2019-82