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• SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee
  on May 28, 2020 at 9:30 pm
• Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors
  on May 28, 2020 at 6:10 pm
• Private Equity Firm Ares Management LLC Charged With Compliance Failures
  on May 26, 2020 at 8:17 pm
• SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund
  on May 22, 2020 at 4:16 pm
• SEC Announces Virtual Conference on Municipal Securities Disclosure
  on May 22, 2020 at 12:45 pm
• SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
  on May 22, 2020 at 12:30 pm
• SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
  on May 21, 2020 at 5:30 pm
• SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses
  on May 21, 2020 at 1:01 pm
• SEC Announces 2020 Small Business Forum, to Be Held Virtually
  on May 20, 2020 at 7:30 pm
• SEC Staff to Host July 9 Roundtable on Emerging Markets
  on May 19, 2020 at 12:30 pm
• SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
  on May 18, 2020 at 9:10 pm
• SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability
  on May 15, 2020 at 9:36 pm
• SEC Announces New Investor Advisory Committee Members
  on May 15, 2020 at 3:30 pm
• SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations
  on May 15, 2020 at 12:55 pm
• SEC Charges Companies and CEO for Misleading COVID-19 Claims
  on May 14, 2020 at 1:00 pm
• SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud
  on May 12, 2020 at 6:30 pm
• SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients
  on May 12, 2020 at 12:45 pm
• Chairman Jay Clayton Announces Additions to Executive Staff
  on May 11, 2020 at 10:18 pm
• SEC Names John Moses Managing Executive in Chairman’s Office
  on May 11, 2020 at 10:16 pm
• Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency
  on May 11, 2020 at 10:15 pm