SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers - SEC.gov sec.gov Submitted by secgov7301 on July 12, 2023 at 3:55 PM in business No comments 52
SEC Adopts Amendments to Exemption From National Securities Association Membership - SEC.gov sec.gov Submitted by secgov7301 on August 23, 2023 at 3:35 PM in business No comments 14
SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail - SEC.gov sec.gov Submitted by secgov7301 on September 6, 2023 at 3:42 PM in business No comments 10
SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers - SEC.gov sec.gov Submitted by secgov7301 on September 11, 2023 at 8:18 PM in business No comments 15
SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs - SEC.gov sec.gov Submitted by secgov7301 on September 13, 2023 at 2:02 PM in business No comments 1
SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers - SEC.gov sec.gov Submitted by secgov7301 on September 12, 2023 at 9:02 PM in business No comments 39
SEC Charges Lyft with Failure to Disclose Board Member's Financial Interest in Private Shareholder's Pre-IPO Stock Transaction - SEC.gov sec.gov Submitted by secgov7301 on September 18, 2023 at 1:13 PM in business No comments 49
Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data - SEC.gov sec.gov Submitted by secgov7301 on September 22, 2023 at 1:03 PM in business No comments 28
SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names - SEC.gov sec.gov Submitted by secgov7301 on September 20, 2023 at 5:24 PM in business No comments 17
SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations - SEC.gov sec.gov Submitted by secgov7301 on September 22, 2023 at 2:03 PM in business No comments 6
Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments - SEC.gov sec.gov Submitted by secgov7301 on September 25, 2023 at 1:03 PM in business No comments 7
SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading - SEC.gov sec.gov Submitted by secgov7301 on September 28, 2023 at 2:12 PM in business No comments 7
SEC Charges 10 Firms with Widespread Recordkeeping Failures - SEC.gov sec.gov Submitted by secgov7301 on September 30, 2023 at 1:18 PM in business No comments 60
SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule - SEC.gov sec.gov Submitted by secgov7301 on September 30, 2023 at 2:33 PM in business No comments 43
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting - SEC.gov sec.gov Submitted by secgov7301 on October 11, 2023 at 5:28 PM in business No comments 30
SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection - SEC.gov sec.gov Submitted by secgov7301 on October 14, 2023 at 4:18 PM in business No comments 60
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised - SEC.gov sec.gov Submitted by secgov7301 on October 25, 2023 at 8:17 PM in business No comments 42
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks - SEC.gov sec.gov Submitted by secgov7301 on October 19, 2023 at 3:19 PM in business No comments 21
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures - SEC.gov sec.gov Submitted by secgov7301 on October 31, 2023 at 8:33 PM in business No comments 1
SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities - SEC.gov sec.gov Submitted by secgov7301 on November 2, 2023 at 4:38 PM in business No comments 28
SEC Announces Enforcement Results for Fiscal Year 2023 - SEC.gov sec.gov Submitted by secgov7301 on November 15, 2023 at 8:11 PM in business No comments 13
SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency - SEC.gov sec.gov Submitted by secgov7301 on November 21, 2023 at 10:32 PM in business No comments 43
SEC Adopts Rules to Improve Risk Management in Clearance and Settlement and Facilitate Additional Central Clearing for the U.S. Treasury Market - SEC.gov sec.gov Submitted by secgov7301 on December 14, 2023 at 4:53 PM in business No comments 62
SEC Charges Global Software Company SAP for FCPA Violations - SEC.gov sec.gov Submitted by secgov7301 on January 11, 2024 at 6:32 PM in business No comments 16
SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures - SEC.gov sec.gov Submitted by secgov7301 on January 12, 2024 at 9:24 PM in business No comments 42
SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business - SEC.gov sec.gov Submitted by secgov7301 on January 13, 2024 at 1:33 PM in business No comments 1
Statement on Final Rules Regarding Special Purpose Acquisition Companies (SPACs), Shell Companies, and Projections - SEC.gov sec.gov Submitted by secgov7301 on January 25, 2024 at 3:45 PM in business No comments 1
SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections - SEC.gov sec.gov Submitted by secgov7301 on January 25, 2024 at 4:05 PM in business No comments 55
SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” - SEC.gov sec.gov Submitted by secgov7301 on February 7, 2024 at 4:59 PM in business No comments 1
SEC Adopts Amendments to Enhance Private Fund Reporting - SEC.gov sec.gov Submitted by secgov7301 on February 9, 2024 at 8:19 PM in business No comments 46
SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence - SEC.gov sec.gov Submitted by secgov7301 on March 19, 2024 at 12:02 PM in business No comments 26
Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges - SEC.gov sec.gov Submitted by secgov7301 on March 20, 2024 at 1:00 PM in business No comments 41
SEC.gov | SEC Chair Gensler Statement on Upcoming Implementation of T+1 Settlement CycleSEC Chair Gensler Statement on Upcoming Implementation of T+1 Settlement Cycle - SEC.gov sec.gov Submitted by secgov7301 on May 23, 2024 at 12:02 PM in business No comments 29
SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock - SEC.gov sec.gov Submitted by secgov7301 on June 2, 2024 at 3:02 AM in business No comments 13