UBS to Pay $25 Million to Settle SEC Fraud Charges Involving Complex Options Trading StrategyJune 29, 2022
Ernst & Young to Pay $100 Million Penalty for Employees Cheating on CPA Ethics Exams and Misleading InvestigationJune 28, 2022
SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment ManagersJune 23, 2022
SEC Requests Information and Comment on Advisers Act Regulatory Status of Index Providers, Model Portfolio Providers, and Pricing ServicesJune 15, 2022
SEC Charges Rochester, NY, and City’s Former Executives and Municipal Advisor with Misleading InvestorsJune 14, 2022
SEC Charges Private Equity Adviser for Failing to Disclose Disproportionate Expense Allocations to FundJune 14, 2022
SEC Reopens Comment Period for Proposed Rule on Recovery of Erroneously Awarded CompensationJune 8, 2022
SEC CHARGES NEW JERSEY SOFTWARE COMPANY AND SENIOR EMPLOYEES WITH ACCOUNTING-RELATED MISCONDUCTJune 7, 2022
SEC Investor Advisory Committee to Discuss Non-Traditional Accounting and Climate Disclosure on June 9June 6, 2022
