News

• SEC Issues Record $114 Million Whistleblower Award
  on October 22, 2020 at 6:05 pm
• SEC Charges Goldman Sachs With FCPA Violations
  on October 22, 2020 at 4:01 pm
• At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining
  on October 22, 2020 at 3:47 pm
• SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28
  on October 22, 2020 at 2:00 pm
• SEC Obtains Final Judgment Against Kik Interactive For Unregistered Offering
  on October 21, 2020 at 8:00 pm
• SEC Updates Auditor Independence Rules
  on October 16, 2020 at 4:00 pm
• SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS
  on October 16, 2020 at 1:15 pm
• SEC and CFTC to Hold a Joint Open Meeting on October 22
  on October 15, 2020 at 10:45 pm
• SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
  on October 15, 2020 at 9:40 pm
• 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
  on October 15, 2020 at 5:53 pm
• SEC Appoints PCAOB Chief Auditor Megan Zietsman to PCAOB Board
  on October 15, 2020 at 5:51 pm
• SEC Awards $800,000 to Whistleblower
  on October 15, 2020 at 3:05 pm
• SEC Charges Brazilian Meat Producers With FCPA Violations
  on October 14, 2020 at 7:15 pm
• Tamara Brightwell Named Deputy Director of Division of Corporation Finance’s Disclosure Review Program
  on October 13, 2020 at 8:40 pm
• Jessica Kane Named Director of Division of Corporation Finance’s Disclosure Review Program
  on October 13, 2020 at 8:30 pm
• SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud
  on October 8, 2020 at 9:40 pm
• SEC Names Nichola L. Timmons Chief of New Office of Bankruptcy, Collections, Distributions, and Receiverships
  on October 7, 2020 at 7:45 pm
• SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually
  on October 7, 2020 at 5:31 pm
• SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
  on October 7, 2020 at 4:05 pm
• SEC Updates Regulatory Framework for Fund of Funds Arrangements
  on October 7, 2020 at 1:00 pm