News

• SEC Announces New Small Business Capital Formation Advisory Committee Members
  on August 4, 2020 at 2:30 pm
• Scott A. Thompson Named Associate Regional Director in Philadelphia Office
  on August 3, 2020 at 5:00 pm
• Pharmaceutical Company and Former Executives Charged With Misleading Financial Disclosures
  on July 31, 2020 at 8:30 pm
• SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme
  on July 30, 2020 at 8:05 pm
• SEC Charges CEO and Company With Defrauding First Responders and Others Out of Millions
  on July 30, 2020 at 4:55 pm
• Small Business Capital Formation Advisory Committee Aug. 4 Meeting to Focus on How Capital Markets Are Serving Underrepresented Founders
  on July 29, 2020 at 7:45 pm
• SEC Announces Creation of the Event and Emerging Risk Examination Team in the Office of Compliance Inspections and Examinations and the Appointment of Adam D. Storch as Associate Director
  on July 28, 2020 at 3:59 pm
• SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators
  on July 28, 2020 at 12:30 pm
• Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act
  on July 24, 2020 at 7:00 pm
• SEC Charges Trustify Inc. and Founder in $18.5 Million Offering Fraud
  on July 24, 2020 at 6:05 pm
• SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information
  on July 22, 2020 at 4:30 pm
• SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors
  on July 20, 2020 at 10:05 pm
• UBS to Pay $10 Million for Violating Rules Which Give Priority To Retail Investors in Municipal Offerings
  on July 20, 2020 at 8:15 pm
• SEC Charges Financial Advisor with Fraud for Stealing Millions from Investors
  on July 20, 2020 at 6:49 pm
• SEC Files Fraud Charges Against Co-Founder of IIG
  on July 17, 2020 at 3:59 pm
• SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
  on July 16, 2020 at 3:28 pm
• SEC Issues $3.8 Million Whistleblower Award
  on July 14, 2020 at 7:15 pm
• SEC Charges Wind Turbine Company and Individuals With Defrauding Investors
  on July 14, 2020 at 5:45 pm
• SEC Charges App Developer for Unregistered Security-Based Swap Transactions
  on July 13, 2020 at 2:00 pm
• SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets
  on July 10, 2020 at 7:35 pm