SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG InvestmentsNovember 22, 2022
SEC Charges Unregistered Brokers that Facilitated more than $1.2 Billion in Primarily Penny Stock TradesNovember 17, 2022
SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading SchemeNovember 10, 2022
SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the RoleNovember 7, 2022
Keith E. Cassidy and Natasha Vij Greiner Appointed Deputy Directors of Division of ExaminationsNovember 7, 2022
SEC Charges Creator of Global Crypto Ponzi Scheme and Three US Promoters in Connection with $295 Million FraudNovember 4, 2022
SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme that Targeted Muslim CommunityNovember 2, 2022
SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment ManagersNovember 2, 2022
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment AdvisersOctober 26, 2022
SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund AdvertisementsOctober 26, 2022
SEC Charges Canadian Cannabis Company and Former Senior Executive with Accounting FraudOctober 24, 2022
