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Reports of Investigations
| Release No. |
Date |
Details |
| 34-71390 |
Jan. 24, 2014 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: KPMG, LLP |
| 34-70148 |
Aug. 8, 2013 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Eurex Deutschland |
| 34-69516 |
May 6, 2013 |
Report of Investigation in the Matter of the City of Harrisburg, Pennsylvania Concerning the Potential Liability of Public Officials with Regard to Disclosure Obligations in the Secondary Market |
| 34-69279 |
Apr. 2, 2013 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Netflix, Inc., and Reed Hastings
(PDF version) |
| 34-62802 |
Aug. 31, 2010 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Moody’s Investors Service, Inc. |
| 34-61734 |
Mar. 18, 2010 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: JP Morgan Securities, Inc. |
| 34-57446 |
Mar. 6, 2008 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The Retirement Systems of Alabama |
| 34-51283 |
Mar. 1, 2005 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on potential Exchange Act Section 10(b) and Section 14(a) liability |
| 34-51163 |
Feb. 9, 2005 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 (“Exchange Act”) Regarding The Nasdaq Stock Market, Inc. (“Nasdaq”), as Overseen By Its Parent, The National Association of Securities Dealers, Inc. (“NASD”) |
| 34-46898 |
Nov. 25, 2002 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Motorola, Inc. |
| 34-44969 |
Oct. 23, 2001 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions |
| 34-39157 |
Sep. 30, 1997 |
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Concerning the Conduct of Certain Former Officers and Directors of W. R. Grace & Co. |
| No Release Number |
Aug. 8, 1996 |
Report Persuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market |
| 34-36761 |
Jan. 24, 1996 |
Report of Investigation in the Matter of County of Orange, California as it Relates to the Conduct of the Members of the Board of Supervisors |
http://www.sec.gov/litigation/investreports.shtml
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