SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity ReportsAugust 10, 2020
SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow ArrangementsAugust 5, 2020
SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory CommitteeAugust 5, 2020
SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and DisclosuresAugust 5, 2020
Pharmaceutical Company and Former Executives Charged With Misleading Financial DisclosuresJuly 31, 2020
Small Business Capital Formation Advisory Committee Aug. 4 Meeting to Focus on How Capital Markets Are Serving Underrepresented FoundersJuly 29, 2020
SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate DirectorJuly 28, 2020
SEC Charges Valic Financial Advisors with Failing to Disclose Payments to Promote Services to Florida EducatorsJuly 28, 2020
Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank ActJuly 24, 2020
SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete InformationJuly 22, 2020
