News

• SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
  on December 4, 2020 at 1:45 pm
• SEC Announces New Investor Advisory Committee Members
  on December 3, 2020 at 9:45 pm
• Nekia Hackworth Jones Named Director of Atlanta Regional Office
  on December 3, 2020 at 8:30 pm
• SEC Announces Office Focused on Innovation and Financial Technology
  on December 3, 2020 at 7:47 pm
• SEC Modernizes Framework for Fund Valuation Practices
  on December 3, 2020 at 6:30 pm
• Energy Companies Agree to Settle Fraud Charges Stemming From Failed Nuclear Power Plant Expansion
  on December 2, 2020 at 10:20 pm
• SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters
  on December 2, 2020 at 3:41 pm
• SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
  on December 1, 2020 at 8:30 pm
• SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
  on December 1, 2020 at 7:00 pm
• SEC Awards Over $6 Million to Joint Whistleblowers
  on December 1, 2020 at 4:20 pm
• SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
  on November 25, 2020 at 2:29 pm
• SEC Investor Advisory Committee to Meet Remotely on Dec. 3
  on November 24, 2020 at 9:45 pm
• SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
  on November 24, 2020 at 4:46 pm
• SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
  on November 24, 2020 at 4:44 pm
• SEC Issues Statement on European Central Counterparties Seeking to Register or Request Exemptions From the SEC
  on November 23, 2020 at 10:15 pm
• SEC Charges E-Commerce Startup and CEO With Defrauding Investors
  on November 23, 2020 at 8:19 pm
• SEC Adopts Amendments to Modernize and Enhance Management’s Discussion and Analysis and other Financial Disclosures
  on November 19, 2020 at 8:02 pm
• Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office
  on November 19, 2020 at 7:00 pm
• SEC Awards Whistleblower Over $900,000
  on November 19, 2020 at 4:08 pm
• Marie-Louise Huth Named as Associate General Counsel for Legal Policy
  on November 18, 2020 at 4:00 pm