Published date grouping: December 2018
Date: Dec. 26, 2018
Title:
JPMorgan to Pay More Than $135 Million for Improper Handling of ADRs
Release No.: 2018-306
Published date grouping: December 2018
Date: Dec. 21, 2018
Title:
Agencies Invite Comment on a Proposal to Exclude Community Banks from the Volcker Rule
Release No.: 2018-305
Published date grouping: December 2018
Date: Dec. 21, 2018
Title:
Martha Miller Named Advocate for Small Business Capital Formation
Release No.: 2018-304
Published date grouping: December 2018
Date: Dec. 21, 2018
Title:
Two Advisory Firms, CEO Charged With Mutual Fund Share Class Disclosure Violations
Release No.: 2018-303
Published date grouping: December 2018
Date: Dec. 21, 2018
Title:
SEC Charges Audit Firm and Suspends Accountants for Deficient Audits
Release No.: 2018-302
Published date grouping: December 2018
Date: Dec. 21, 2018
Title:
SEC Staff Encourages Continued Engagement on Impact of MiFID II Research Provisions
Release No.: 2018-301
Published date grouping: December 2018
Date: Dec. 21, 2018
Title:
SEC Charges Two Robo-Advisers With False Disclosures
Release No.: 2018-300
Published date grouping: December 2018
Date: Dec. 20, 2018
Title:
SEC Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities
Release No.: 2018-299
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Adopts Transaction Fee Pilot for NMS Stocks
Release No.: 2018-298
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Adopts Final Rules to Allow Exchange Act Reporting Companies to Use Regulation A
Release No.: 2018-297
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Charges Additional 13 Unregistered Brokers Who Sold Woodbridge Securities to Retail Investors
Release No.: 2018-296
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Proposes Rule Changes for Fund of Funds Arrangements
Release No.: 2018-295
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Proposes Risk Mitigation Techniques for Uncleared Security-Based Swaps
Release No.: 2018-294
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Adopts Rule of Practice 194
Release No.: 2018-293
Published date grouping: December 2018
Date: Dec. 19, 2018
Title:
SEC Approves 2019 PCAOB Budget and Accounting Support Fee
Release No.: 2018-292
Published date grouping: December 2018
Date: Dec. 18, 2018
Title:
SEC Adopts Final Rules for Disclosure of Hedging Policies
Release No.: 2018-291
Published date grouping: December 2018
Date: Dec. 18, 2018
Title:
SEC Charges Former Panasonic Executives
Release No.: 2018-290
Published date grouping: December 2018
Date: Dec. 18, 2018
Title:
SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition
Release No.: 2018-289
Published date grouping: December 2018
Date: Dec. 18, 2018
Title:
Daniel Kahl Named Deputy Director of the Office of Compliance Inspections and Examinations
Release No.: 2018-288
Published date grouping: December 2018
Date: Dec. 18, 2018
Title:
SEC Solicits Public Comment on Earnings Releases and Quarterly Reports
Release No.: 2018-287
Published date grouping: December 2018
Date: Dec. 17, 2018
Title:
Scott W. Bauguess, Deputy Director of the Division of Economic and Risk Analysis, to Leave the Agency After a Decade of Service
Release No.: 2018-286
Published date grouping: December 2018
Date: Dec. 17, 2018
Title:
BNY Mellon to Pay More Than $54 Million for Improper Handling of ADRs
Release No.: 2018-285
Published date grouping: December 2018
Date: Dec. 14, 2018
Title:
Jeffrey S. Mooney Named Associate Director in the Office of Clearance and Settlement
Release No.: 2018-284
Published date grouping: December 2018
Date: Dec. 13, 2018
Title:
SEC Charges Former New York Investment Advisor and Daughter With Conducting a Ponzi Scheme
Release No.: 2018-283
Published date grouping: December 2018
Date: Dec. 13, 2018
Title:
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
Release No.: 2018-282
Published date grouping: December 2018
Date: Dec. 13, 2018
Title:
Jeffrey Minton, Office of the Chief Accountant Chief Counsel, to Retire from the SEC After 20 Years of Service
Release No.: 2018-281
Published date grouping: December 2018
Date: Dec. 12, 2018
Title:
Executives Settle ICO Scam Charges
Release No.: 2018-280
Published date grouping: December 2018
Date: Dec. 12, 2018
Title:
Three Developers Settle Charges of Fraudulent EB-5 Offering
Release No.: 2018-279
Published date grouping: December 2018
Date: Dec. 11, 2018
Title:
SEC Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official
Release No.: 2018-278
Published date grouping: December 2018
Date: Dec. 11, 2018
Title:
SEC Charges The Hain Celestial Group with Internal Controls Failures
Release No.: 2018-277
Published date grouping: December 2018
Date: Dec. 10, 2018
Title:
SEC Charges Agria Corporation and Executive Chairman With Fraud
Release No.: 2018-276
Published date grouping: December 2018
Date: Dec. 10, 2018
Title:
Three Broker-Dealers to Pay More Than $6 Million in Penalties for Providing Deficient Blue Sheet Data
Release No.: 2018-275
Published date grouping: December 2018
Date: Dec. 7, 2018
Title:
SEC Announces Agenda and Panelists for the 37th Annual Small Business Forum
Release No.: 2018-274
Published date grouping: December 2018
Date: Dec. 6, 2018
Title:
SEC Halts Alleged Insider Trading Ring Spanning Three Countries
Release No.: 2018-273
Published date grouping: December 2018
Date: Dec. 6, 2018
Title:
SEC Investor Advisory Committee to Meet on December 13
Release No.: 2018-272
Published date grouping: December 2018
Date: Dec. 4, 2018
Title:
Shira Pavis Minton, Ethics Counsel, to Retire from the SEC After 20 Years of Federal Service
Release No.: 2018-271
Published date grouping: December 2018
Date: Dec. 3, 2018
Title:
Aaron Lipson, Associate Regional Director of Atlanta Office, to Leave Agency After 14 Years of Service
Release No.: 2018-270
Published date grouping: November 2018
Date: Nov. 30, 2018
Title:
SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds
Release No.: 2018-269
Published date grouping: November 2018
Date: Nov. 29, 2018
Title:
Two Celebrities Charged With Unlawfully Touting Coin Offerings
Release No.: 2018-268
Published date grouping: November 2018
Date: Nov. 29, 2018
Title:
Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service
Release No.: 2018-267
Published date grouping: November 2018
Date: Nov. 28, 2018
Title:
SEC Charges Self-Described Promoter With Microcap Market Manipulation Scheme
Release No.: 2018-266
Published date grouping: November 2018
Date: Nov. 19, 2018
Title:
Kurt Gottschall Named Director of Denver Office
Release No.: 2018-265
Published date grouping: November 2018
Date: Nov. 16, 2018
Title:
Two ICO Issuers Settle SEC Registration Charges, Agree to Register Tokens as Securities
Release No.: 2018-264
Published date grouping: November 2018
Date: Nov. 15, 2018
Title:
SEC Charges Giga Entertainment Media, Former Officers and Directors With Fraud in Pay-For-Download Campaign
Release No.: 2018-263
Published date grouping: November 2018
Date: Nov. 15, 2018
Title:
SEC Brings Additional Charges in New York Boiler Room Scheme Targeting Seniors
Release No.: 2018-262
Published date grouping: November 2018
Date: Nov. 13, 2018
Title:
SEC Settles Insider Trading Claims Against Former Chairman and CEO of Advanced Medical Optics
Release No.: 2018-261
Published date grouping: November 2018
Date: Nov. 8, 2018
Title:
SEC Announces Agenda, Panelists for Staff Roundtable on the Proxy Process
Release No.: 2018-260
Published date grouping: November 2018
Date: Nov. 8, 2018
Title:
Stock Research Firm and Co-Founders Charged With Deceiving Investors in Supposedly Unbiased Reports
Release No.: 2018-259
Published date grouping: November 2018
Date: Nov. 8, 2018
Title:
SEC Charges EtherDelta Founder With Operating an Unregistered Exchange
Release No.: 2018-258
Published date grouping: November 2018
Date: Nov. 7, 2018
Title:
Investor Testing of the Proposed Relationship Summary for Investment Advisers and Broker-Dealers
Release No.: 2018-257
Published date grouping: November 2018
Date: Nov. 7, 2018
Title:
SEC Charges ITG With Misleading Dark Pool Subscribers
Release No.: 2018-256
Published date grouping: November 2018
Date: Nov. 7, 2018
Title:
Citibank to Pay More Than $38 Million for Improper Handling of ADRs
Release No.: 2018-255
Published date grouping: November 2018
Date: Nov. 5, 2018
Title:
Anthony S. Kelly, Co-Chief of Asset Management Unit, to Leave SEC After 18 Years of Service
Release No.: 2018-254
Published date grouping: November 2018
Date: Nov. 2, 2018
Title:
SEC Adopts Rules That Increase Information Brokers Must Provide to Investors on Order Handling
Release No.: 2018-253
Published date grouping: November 2018
Date: Nov. 2, 2018
Title:
SEC Charges Investment Adviser With Running $3.9 Million Fraud
Release No.: 2018-252
Published date grouping: November 2018
Date: Nov. 2, 2018
Title:
SEC Charges Family Friend of Former Investment Banker With Insider Trading
Release No.: 2018-251
Published date grouping: November 2018
Date: Nov. 2, 2018
Title:
SEC Enforcement Division Issues Report on FY 2018 Results
Release No.: 2018-250
Published date grouping: October 2018
Date: Oct. 31, 2018
Title:
SEC Issues Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Release No.: 2018-249
Published date grouping: October 2018
Date: Oct. 31, 2018
Title:
SEC Adopts Rules to Modernize Property Disclosures Required for Mining Registrants
Release No.: 2018-248
Published date grouping: October 2018
Date: Oct. 31, 2018
Title:
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Release No.: 2018-247
Published date grouping: October 2018
Date: Oct. 30, 2018
Title:
SEC Proposes Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts
Release No.: 2018-246
Published date grouping: October 2018
Date: Oct. 25, 2018
Title:
SEC Investor Advisory Committee to Hold Nov. 7 Telephone Meeting
Release No.: 2018-245
Published date grouping: October 2018
Date: Oct. 24, 2018
Title:
SEC Issues Agenda for October 29 Meeting of the Fixed Income Market Structure Advisory Committee
Release No.: 2018-244
Published date grouping: October 2018
Date: Oct. 23, 2018
Title:
SEC Announces $25 Million Settlement1 With Self-Proclaimed “Frack Master”
Release No.: 2018-243
Published date grouping: October 2018
Date: Oct. 22, 2018
Title:
SEC Suspends Trading in Company for Making False Cryptocurrency-Related Claims about SEC Regulation and Registration
Release No.: 2018-242
Published date grouping: October 2018
Date: Oct. 18, 2018
Title:
SEC Charges Lawyer and Her Husband in EB-5 Fraud
Release No.: 2018-241
Published date grouping: October 2018
Date: Oct. 18, 2018
Title:
SEC Launches New Strategic Hub for Innovation and Financial Technology
Release No.: 2018-240
Published date grouping: October 2018
Date: Oct. 18, 2018
Title:
SEC Announces 2018 Government-Business Forum to Be Held at The Ohio State University
Release No.: 2018-239
Published date grouping: October 2018
Date: Oct. 17, 2018
Title:
SEC Charges Investment Adviser With Stealing From Friends, Community Members
Release No.: 2018-238
Published date grouping: October 2018
Date: Oct. 16, 2018
Title:
SEC Provides Regulatory Relief and Assistance for Hurricane Victims
Release No.: 2018-237
Published date grouping: October 2018
Date: Oct. 16, 2018
Title:
SEC Investigative Report: Public Companies Should Consider Cyber Threats When Implementing Internal Accounting Controls
Release No.: 2018-236
Published date grouping: October 2018
Date: Oct. 12, 2018
Title:
SEC Suspends Former BDO Accountants for Improperly “Predating” Audit Work Papers
Release No.: 2018-235
Published date grouping: October 2018
Date: Oct. 11, 2018
Title:
SEC’s New Strategic Plan Puts Investors, Innovation, and Performance at Top
Release No.: 2018-234
Published date grouping: October 2018
Date: Oct. 11, 2018
Title:
SEC Reopens Comment Period for Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Release No.: 2018-233
Published date grouping: October 2018
Date: Oct. 11, 2018
Title:
SEC Stops Fraudulent ICO That Falsely Claimed SEC Approval
Release No.: 2018-232
Published date grouping: October 2018
Date: Oct. 10, 2018
Title:
Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC
Release No.: 2018-231
Published date grouping: October 2018
Date: Oct. 10, 2018
Title:
SEC Monitoring Impact of Hurricane Michael on Capital Markets
Release No.: 2018-230
Published date grouping: October 2018
Date: Oct. 5, 2018
Title:
SEC Charges Real Estate Developer With Fraud in Project Tied to New Commuter Rail Station
Release No.: 2018-229
Published date grouping: October 2018
Date: Oct. 3, 2018
Title:
SEC Halts Microcap Fraud Scheme Orchestrated Through International Accounts
Release No.: 2018-228
Published date grouping: October 2018
Date: Oct. 1, 2018
Title:
SEC to Focus on Empowering Main Street Investors for 2018 World Investor Week
Release No.: 2018-227
Published date grouping: September 2018
Date: Sept. 29, 2018
Title:
Elon Musk Settles SEC Fraud Charges; Tesla Charged With and Resolves Securities Law Charge
Release No.: 2018-226
Published date grouping: September 2018
Date: Sept. 28, 2018
Title:
Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading
Release No.: 2018-225
Published date grouping: September 2018
Date: Sept. 28, 2018
Title:
Credit Suisse Agrees to Pay $10 Million to Settle Charges Related to Handling of Retail Customer Orders
Release No.: 2018-224
Published date grouping: September 2018
Date: Sept. 28, 2018
Title:
SEC Charges LendingClub Asset Management and Former Executives With Misleading Investors and Breaching Fiduciary Duty
Release No.: 2018-223
Published date grouping: September 2018
Date: Sept. 28, 2018
Title:
SEC Charges Stryker A Second Time for FCPA Violations
Release No.: 2018-222
Published date grouping: September 2018
Date: Sept. 28, 2018
Title:
SEC Charges Salix Pharmaceuticals and Former CFO With Lying About Distribution Channel
Release No.: 2018-221
Published date grouping: September 2018
Date: Sept. 28, 2018
Title:
SEC Charges Walgreens and Two Former Executives With Misleading Investors About Forecasted Earnings Goal
Release No.: 2018-220
Published date grouping: September 2018
Date: Sept. 27, 2018
Title:
Elon Musk Charged With Securities Fraud for Misleading Tweets
Release No.: 2018-219
Published date grouping: September 2018
Date: Sept. 27, 2018
Title:
SEC Charges Bitcoin-Funded Securities Dealer and CEO
Release No.: 2018-218
Published date grouping: September 2018
Date: Sept. 27, 2018
Title:
Lacey Dingman, Chief Human Capital Officer and Director of Human Resources, to Leave SEC
Release No.: 2018-217
Published date grouping: September 2018
Date: Sept. 27, 2018
Title:
Online Marketers Charged With Conning Main Street Investors Through Rags-to-Riches Infomercials
Release No.: 2018-216
Published date grouping: September 2018
Date: Sept. 27, 2018
Title:
Petrobras Reaches Settlement With SEC for Misleading Investors
Release No.: 2018-215
Published date grouping: September 2018
Date: Sept. 26, 2018
Title:
SEC Proposes Amendments to Codify Exemption to Credit Rating Agency Rule
Release No.: 2018-214
Published date grouping: September 2018
Date: Sept. 26, 2018
Title:
SEC Charges Firm With Deficient Cybersecurity Procedures
Release No.: 2018-213
Published date grouping: September 2018
Date: Sept. 25, 2018
Title:
SEC Charges Former CEO of Chilean-Based Chemical and Mining Company With FCPA Violations
Release No.: 2018-212
Published date grouping: September 2018
Date: Sept. 25, 2018
Title:
SG Americas Securities Charged for Improper Handling of ADRs
Release No.: 2018-211
Published date grouping: September 2018
Date: Sept. 24, 2018
Title:
SEC Staff to Host Roundtable on Market Data and Market Access
Release No.: 2018-210
Published date grouping: September 2018
Date: Sept. 24, 2018
Title:
SEC Awards Almost $4 Million to Overseas Whistleblower
Release No.: 2018-209
Published date grouping: September 2018
Date: Sept. 21, 2018
Title:
SEC Charges Unregistered Sales of Securities Issued Under EB-5 Immigrant Investor Program
Release No.: 2018-208
Published date grouping: September 2018
Date: Sept. 21, 2018
Title:
Public Companies Charged With Failing to Comply With Quarterly Reporting Obligations
Release No.: 2018-207