INDYNEWS
- Municipal Securities Underwriters Pay a Total of $325,000 in Fines
- SEC CHAIRMAN ARTHUR LEVITT, IOWA OFFICIALS TO HOLD INVESTORS’ TOWN MEETING IN DES MOINES
- SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
- SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
- SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
- SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
- SEC’s Division of Examinations Announces New Exam Handbook
- SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
- SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
- SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
- SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
- SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
- SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
- SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
- SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
- SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
- SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
- SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
- Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
- SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
- President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000
- SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
- SEC Investor Advisory Committee to Host Sept. 10 Meeting
- SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
- SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
- SEC Proposes to Modernize Rules for Registered Transfer Agents
- SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity
- SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
- SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors
- SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
- SEC Proposes New Regulation Crypto Assets
- SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
- SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
- SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
- SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
- SEC Announces Continuation of Small Business Advisory Committee Meeting
- Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy
- SEC Announces Roundtable on Preparations for 24-Hour Trading
- SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon
- SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
- SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
- SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
- SEC Small Business Advisory Committee to Explore Modernizing Market Access
- SEC Forms New Retail Fraud Working Group
- SEC Names Paul Knight as Chief Operating Officer
- SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
- SEC Seeks Public Comment on Novel Exchange-Traded Funds
- SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
- SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
- SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
- SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
- SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
- SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
- SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
- SEC Announces New Members of Small Business Capital Formation Advisory Committee
- SEC Publishes Draft Strategic Plan for Public Comment
- SEC Announces Four New Members of Investor Advisory Committee
- SEC Proposes Rescission of Climate-Related Disclosure Rules
- SEC Investor Advisory Committee to Host June 4 Meeting