SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for FranceDecember 22, 2020
SEC Names John Moses as Deputy Director of Office of Investor Education and AdvocacyDecember 21, 2020
SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American CommunityDecember 21, 2020
S.P. Kothari to Conclude Tenure As SEC Chief Economist and Division of Economic and Risk Analysis DirectorDecember 21, 2020
SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing DeviceDecember 18, 2020
SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and MarketsDecember 18, 2020
SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best ExecutionDecember 17, 2020
SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative RegulationDecember 16, 2020
SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction IssuersDecember 16, 2020
Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets DirectorDecember 15, 2020
SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair GoodwillDecember 11, 2020
Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the DivisionDecember 10, 2020
