Published date grouping: December 2020
Date: Dec. 17, 2020
Title: SEC Approves 2021 PCAOB Budget and Accounting Support Fee
Release No.: 2020-322
Published date grouping: December 2020
Date: Dec. 17, 2020
Title: SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution
Release No.: 2020-321
Published date grouping: December 2020
Date: Dec. 16, 2020
Title: SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
Release No.: 2020-320
Published date grouping: December 2020
Date: Dec. 16, 2020
Title: Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges
Release No.: 2020-319
Published date grouping: December 2020
Date: Dec. 16, 2020
Title: SEC Adopts Final Rules for the Disclosure of Payments by Resource Extraction Issuers
Release No.: 2020-318
Published date grouping: December 2020
Date: Dec. 15, 2020
Title: Brett W. Redfearn to Conclude Transformative Tenure as SEC Trading and Markets Director
Release No.: 2020-317
Published date grouping: December 2020
Date: Dec. 14, 2020
Title: SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
Release No.: 2020-316
Published date grouping: December 2020
Date: Dec. 11, 2020
Title: SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill
Release No.: 2020-315
Published date grouping: December 2020
Date: Dec. 10, 2020
Title: Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division
Release No.: 2020-314
Published date grouping: December 2020
Date: Dec. 10, 2020
Title: SEC Staff Supplements Quarterly Private Funds Statistics
Release No.: 2020-313
Published date grouping: December 2020
Date: Dec. 9, 2020
Title: General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
Release No.: 2020-312
Published date grouping: December 2020
Date: Dec. 9, 2020
Title: SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data
Release No.: 2020-311
Published date grouping: December 2020
Date: Dec. 9, 2020
Title: Global Securities Pricing Service to Pay $8 Million for Compliance Failures
Release No.: 2020-310
Published date grouping: December 2020
Date: Dec. 8, 2020
Title: Robert Stebbins to Conclude Tenure as SEC General Counsel
Release No.: 2020-309
Published date grouping: December 2020
Date: Dec. 8, 2020
Title: SEC Orders BlueCrest to Pay $170 Million to Harmed Fund Investors
Release No.: 2020-308
Published date grouping: December 2020
Date: Dec. 7, 2020
Title: SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million
Release No.: 2020-307
Published date grouping: December 2020
Date: Dec. 4, 2020
Title: SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
Release No.: 2020-306
Published date grouping: December 2020
Date: Dec. 3, 2020
Title: SEC Announces New Investor Advisory Committee Members
Release No.: 2020-305
Published date grouping: December 2020
Date: Dec. 3, 2020
Title: Nekia Hackworth Jones Named Director of Atlanta Regional Office
Release No.: 2020-304
Published date grouping: December 2020
Date: Dec. 3, 2020
Title: SEC Announces Office Focused on Innovation and Financial Technology
Release No.: 2020-303
Published date grouping: December 2020
Date: Dec. 3, 2020
Title: SEC Modernizes Framework for Fund Valuation Practices
Release No.: 2020-302
Published date grouping: December 2020
Date: Dec. 2, 2020
Title: Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion
Release No.: 2020-301
Published date grouping: December 2020
Date: Dec. 2, 2020
Title: SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters
Release No.: 2020-300
Published date grouping: December 2020
Date: Dec. 1, 2020
Title: SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Release No.: 2020-299
Published date grouping: December 2020
Date: Dec. 1, 2020
Title: SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
Release No.: 2020-298
Published date grouping: December 2020
Date: Dec. 1, 2020
Title: SEC Awards Over $6 Million to Joint Whistleblowers
Release No.: 2020-297
Published date grouping: November 2020
Date: Nov. 25, 2020
Title: SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
Release No.: 2020-296
Published date grouping: November 2020
Date: Nov. 24, 2020
Title: SEC Investor Advisory Committee to Meet Remotely on Dec. 3
Release No.: 2020-295
Published date grouping: November 2020
Date: Nov. 24, 2020
Title: SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
Release No.: 2020-294
Published date grouping: November 2020
Date: Nov. 24, 2020
Title: SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Release No.: 2020-293
Published date grouping: November 2020
Date: Nov. 23, 2020
Title: SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC
Release No.: 2020-292
Published date grouping: November 2020
Date: Nov. 23, 2020
Title: SEC Charges E-Commerce Startup and CEO With Defrauding Investors
Release No.: 2020-291
Published date grouping: November 2020
Date: Nov. 19, 2020
Title: SEC Adopts Amendments to Modernize and Enhance Management’s Discussion and Analysis and other Financial Disclosures
Release No.: 2020-290
Published date grouping: November 2020
Date: Nov. 19, 2020
Title: Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office
Release No.: 2020-289
Published date grouping: November 2020
Date: Nov. 19, 2020
Title: SEC Awards Whistleblower Over $900,000
Release No.: 2020-288
Published date grouping: November 2020
Date: Nov. 18, 2020
Title: Marie-Louise Huth Named as Associate General Counsel for Legal Policy
Release No.: 2020-287
Published date grouping: November 2020
Date: Nov. 17, 2020
Title: SEC Adopts Rules to Facilitate Electronic Submission of Documents to the Agency
Release No.: 2020-286
Published date grouping: November 2020
Date: Nov. 17, 2020
Title: OECD Working Group on Bribery Issues Report Commending United States for Maintaining Leading Role in the Fight Against Transnational Corruption
Release No.: 2020-285
Published date grouping: November 2020
Date: Nov. 16, 2020
Title: SEC Chairman Jay Clayton Confirms Plans to Conclude Tenure at Year End
Release No.: 2020-284
Published date grouping: November 2020
Date: Nov. 13, 2020
Title: SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis
Release No.: 2020-283
Published date grouping: November 2020
Date: Nov. 13, 2020
Title: SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products
Release No.: 2020-282
Published date grouping: November 2020
Date: Nov. 13, 2020
Title: SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric
Release No.: 2020-281
Published date grouping: November 2020
Date: Nov. 12, 2020
Title: Mike Willis Named Associate Director in Division of Economic and Risk Analysis
Release No.: 2020-280
Published date grouping: November 2020
Date: Nov. 9, 2020
Title: SEC Publishes Notice of German Substituted Compliance Application and Proposed Order
Release No.: 2020-279
Published date grouping: November 2020
Date: Nov. 5, 2020
Title: SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards
Release No.: 2020-278
Published date grouping: November 2020
Date: Nov. 4, 2020
Title: SEC Announces New Asset Management Advisory Committee Member
Release No.: 2020-277
Published date grouping: November 2020
Date: Nov. 3, 2020
Title: SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee
Release No.: 2020-276
Published date grouping: November 2020
Date: Nov. 3, 2020
Title: SEC Awards Over $28 Million to Whistleblower
Release No.: 2020-275
Published date grouping: November 2020
Date: Nov. 2, 2020
Title: SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
Release No.: 2020-274
Published date grouping: November 2020
Date: Nov. 2, 2020
Title: SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework
Release No.: 2020-273
Published date grouping: October 2020
Date: Oct. 29, 2020
Title: SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee
Release No.: 2020-272
Published date grouping: October 2020
Date: Oct. 29, 2020
Title: Raquel Fox, Director of the Office of International Affairs, to Depart SEC
Release No.: 2020-271
Published date grouping: October 2020
Date: Oct. 29, 2020
Title: SEC Awards Over $10 Million to Whistleblower
Release No.: 2020-270
Published date grouping: October 2020
Date: Oct. 28, 2020
Title: SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
Release No.: 2020-269
Published date grouping: October 2020
Date: Oct. 27, 2020
Title: Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year
Release No.: 2020-268
Published date grouping: October 2020
Date: Oct. 23, 2020
Title: SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
Release No.: 2020-267
Published date grouping: October 2020
Date: Oct. 22, 2020
Title: SEC Issues Record $114 Million Whistleblower Award
Release No.: 2020-266
Published date grouping: October 2020
Date: Oct. 22, 2020
Title: SEC Charges Goldman Sachs With FCPA Violations
Release No.: 2020-265
Published date grouping: October 2020
Date: Oct. 22, 2020
Title: At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
Release No.: 2020-264
Published date grouping: October 2020
Date: Oct. 22, 2020
Title: SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28
Release No.: 2020-263
Published date grouping: October 2020
Date: Oct. 21, 2020
Title: SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
Release No.: 2020-262
Published date grouping: October 2020
Date: Oct. 16, 2020
Title: SEC Updates Auditor Independence Rules
Release No.: 2020-261
Published date grouping: October 2020
Date: Oct. 16, 2020
Title: SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS
Release No.: 2020-260
Published date grouping: October 2020
Date: Oct. 15, 2020
Title: SEC and CFTC to Hold a Joint Open Meeting on October 22
Release No.: 2020-259
Published date grouping: October 2020
Date: Oct. 15, 2020
Title: SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
Release No.: 2020-258
Published date grouping: October 2020
Date: Oct. 15, 2020
Title: Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality
Release No.: 2020-257
Published date grouping: October 2020
Date: Oct. 15, 2020
Title: SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
Release No.: 2020-256
Published date grouping: October 2020
Date: Oct. 15, 2020
Title: SEC Awards $800,000 to Whistleblower
Release No.: 2020-255
Published date grouping: October 2020
Date: Oct. 14, 2020
Title: SEC Charges Brazilian Meat Producers With FCPA Violations
Release No.: 2020-254
Published date grouping: October 2020
Date: Oct. 13, 2020
Title: Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program
Release No.: 2020-253
Published date grouping: October 2020
Date: Oct. 13, 2020
Title: Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program
Release No.: 2020-252
Published date grouping: October 2020
Date: Oct. 8, 2020
Title: SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud
Release No.: 2020-251
Published date grouping: October 2020
Date: Oct. 7, 2020
Title: SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships
Release No.: 2020-250
Published date grouping: October 2020
Date: Oct. 7, 2020
Title: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually
Release No.: 2020-249
Published date grouping: October 2020
Date: Oct. 7, 2020
Title: SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
Release No.: 2020-248
Published date grouping: October 2020
Date: Oct. 7, 2020
Title: SEC Updates Regulatory Framework for Fund of Funds Arrangements
Release No.: 2020-247
Published date grouping: October 2020
Date: Oct. 5, 2020
Title: SEC Charges John McAfee With Fraudulently Touting ICOs
Release No.: 2020-246
Published date grouping: October 2020
Date: Oct. 5, 2020
Title: SEC Staff Releases Report on U.S. Credit Market Interconnectedness and the Effects of the COVID-19 Economic Shock
Release No.: 2020-245
Published date grouping: October 2020
Date: Oct. 5, 2020
Title: SEC’s Messages for World Investor Week 2020
Release No.: 2020-244
Published date grouping: October 2020
Date: Oct. 1, 2020
Title: SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2020-243
Published date grouping: September 2020
Date: Sept. 30, 2020
Title: SEC Charges Hospitality Company for Failing to Disclose Executive Perks
Release No.: 2020-242
Published date grouping: September 2020
Date: Sept. 30, 2020
Title: SEC Charges HP Inc. With Disclosure Violations and Control Failures
Release No.: 2020-241
Published date grouping: September 2020
Date: Sept. 30, 2020
Title: SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards
Release No.: 2020-240
Published date grouping: September 2020
Date: Sept. 30, 2020
Title: SEC Awards Almost $30 Million to Two Insider Whistleblowers
Release No.: 2020-239
Published date grouping: September 2020
Date: Sept. 30, 2020
Title: Morgan Stanley Agrees to Pay $5 Million for Reg SHO Violations in Prime Brokerage Swaps Business
Release No.: 2020-238
Published date grouping: September 2020
Date: Sept. 29, 2020
Title: SEC Charges Manitex International and Three Former Senior Executives With Accounting Fraud
Release No.: 2020-237
Published date grouping: September 2020
Date: Sept. 29, 2020
Title: SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme
Release No.: 2020-236
Published date grouping: September 2020
Date: Sept. 29, 2020
Title: SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes
Release No.: 2020-235
Published date grouping: September 2020
Date: Sept. 29, 2020
Title: SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors
Release No.: 2020-234
Published date grouping: September 2020
Date: Sept. 29, 2020
Title: J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries
Release No.: 2020-233
Published date grouping: September 2020
Date: Sept. 29, 2020
Title: SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members
Release No.: 2020-232
Published date grouping: September 2020
Date: Sept. 28, 2020
Title: SEC Issues $1.8 Million Whistleblower Award to a Company Outsider
Release No.: 2020-231
Published date grouping: September 2020
Date: Sept. 28, 2020
Title: Fiat Chrysler Agrees to Pay $9.5 Million Penalty for Disclosure Violations
Release No.: 2020-230
Published date grouping: September 2020
Date: Sept. 28, 2020
Title: SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS
Release No.: 2020-229
Published date grouping: September 2020
Date: Sept. 28, 2020
Title: SEC Charges Amazon Finance Manager and Family With Insider Trading
Release No.: 2020-228
Published date grouping: September 2020
Date: Sept. 28, 2020
Title: SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets
Release No.: 2020-227
Published date grouping: September 2020
Date: Sept. 28, 2020
Title: SEC Charges Companies, Former Executives as Part of Risk-Based Initiative
Release No.: 2020-226
Published date grouping: September 2020
Date: Sept. 25, 2020
Title: SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct
Release No.: 2020-225
Published date grouping: September 2020
Date: Sept. 25, 2020
Title: SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements
Release No.: 2020-224
Published date grouping: September 2020
Date: Sept. 24, 2020
Title: SEC Charges BMW for Disclosing Inaccurate and Misleading Retail Sales Information to Bond Investors
Release No.: 2020-223
