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Posts published in “Securities and Exchange Commission”

SEC Charges App Developer for Unregistered Security-Based Swap Transactions

July 13, 2020

SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets

July 10, 2020

SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee

July 8, 2020

SEC Adopts Amendments to Exemptive Applications Procedures

July 6, 2020

SEC Charges Alexion Pharmaceuticals With FCPA Violations

July 2, 2020

SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets

July 1, 2020

SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers

June 29, 2020

Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges

June 26, 2020

SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin

June 25, 2020

SEC Charges Novartis AG with FCPA Violations

June 25, 2020

Financial Regulators Modify Volcker Rule

June 25, 2020

SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data

June 24, 2020

SEC Awards $125,000 to Whistleblower

June 23, 2020

Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding

June 22, 2020

SEC Extends Relief for Virtual Meetings of Fund Boards

June 19, 2020

SEC Awards Almost $700,000 to Whistleblower

June 19, 2020

SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud

June 19, 2020

Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years

June 19, 2020

Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures

June 17, 2020

SEC Names Jennifer S. Leete as Associate Director in Enforcement Division

June 17, 2020