Latest Regulatory Announcements from Newsfile Corp.

Official announcements from the United States Securities and Exchange Commission (SEC) highlighting recent actions taken by the Agency and other newsworthy information.

Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
2017-07-21 3:55 PM ET | Newsfile SEC Press Digest
SEC Bars Lawyer Who Committed Fraud
2017-07-19 4:19 PM ET | Newsfile SEC Press Digest
SEC Announces Christopher Hetner as Senior Advisor to the Chairman for Cybersecurity Policy
2017-07-18 5:27 PM ET | Newsfile SEC Press Digest
SEC Files Insider Trading Charges Against Research Scientist Aiming to Avoid SEC Detection
2017-07-12 4:10 PM ET | Newsfile SEC Press Digest
SEC Announces Charges in Massive Telemarketing Boiler Room Scheme Targeting Seniors
2017-07-12 3:41 PM ET | Newsfile SEC Press Digest
SEC Files Fraud Charges in Bitcoin and Office Space Investment Schemes
2017-06-30 3:46 PM ET | Newsfile SEC Press Digest
SEC Charges Information Technology Company and Former Executives With Accounting Fraud
2017-06-30 1:38 PM ET | Newsfile SEC Press Digest
SEC's Division of Corporation Finance Expands Popular JOBS Act Benefit to All Companies
2017-06-29 6:23 PM ET | Newsfile SEC Press Digest
SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud
2017-06-28 10:51 AM ET | Newsfile SEC Press Digest
Additional Charges Announced in Case Involving Pre-Released ADRs
2017-06-22 11:28 AM ET | Newsfile SEC Press Digest
Robert Evans III Named Deputy Director in SEC’s Division of Corporation Finance
2017-06-20 4:44 PM ET | Newsfile SEC Press Digest
Kathryn A. Pyszka Named as Associate Regional Director for Enforcement in the SEC's Chicago Office
2017-06-20 4:17 PM ET | Newsfile SEC Press Digest
Kelly L. Gibson Named as Associate Regional Director for Enforcement in the SEC's Philadelphia Office
2017-06-20 4:13 PM ET | Newsfile SEC Press Digest
Keith Cassidy Named Associate Director of Technology Controls Program in OCIE
2017-06-15 4:16 PM ET | Newsfile SEC Press Digest
SEC Announces Agenda for June 22 Investor Advisory Committee Meeting
2017-06-14 2:10 PM ET | Newsfile SEC Press Digest
SEC Names Stephanie Avakian and Steven Peikin as Co-Directors of Enforcement
2017-06-09 3:29 PM ET | Newsfile SEC Press Digest
SEC Charges Brokerage Firm With Failing to Comply With Anti-Money Laundering Laws
2017-06-05 1:27 PM ET | Newsfile SEC Press Digest
Fee Rate Advisory #3 for Fiscal Year 2017
2017-05-31 12:21 PM ET | Newsfile SEC Press Digest
SEC Names Peter Uhlmann Managing Executive in Chairman's Office
2017-05-25 10:47 AM ET | Newsfile SEC Press Digest
SEC Files Charges in Trading Scheme Involving Confidential Government Information
2017-05-24 11:07 AM ET | Newsfile SEC Press Digest
SEC and MSRB to Hold Webinar on Series 50 Exam for Municipal Advisors
2017-05-23 3:31 PM ET | Newsfile SEC Press Digest
SEC Charges Fake Filer With Manipulating Fitbit Stock
2017-05-19 1:34 PM ET | Newsfile SEC Press Digest
David Peavler, Associate Director of Enforcement in Fort Worth Office, to Leave SEC
2017-05-19 11:46 AM ET | Newsfile SEC Press Digest
SEC Names Robert B. Stebbins as General Counsel
2017-05-15 5:12 PM ET | Newsfile SEC Press Digest
SEC Names Sean Memon Deputy Chief of Staff
2017-05-15 5:04 PM ET | Newsfile SEC Press Digest
SEC Names Jaime Klima Chief Counsel
2017-05-15 5:03 PM ET | Newsfile SEC Press Digest
SEC Charges Former Head Traders at Nomura With Fraud
2017-05-15 11:27 AM ET | Newsfile SEC Press Digest
SEC Names Lucas Moskowitz Chief of Staff
2017-05-11 6:32 PM ET | Newsfile SEC Press Digest
Law Firm Partner and Neighbor Charged in $1 Million Insider Trading Scheme
2017-05-11 4:26 PM ET | Newsfile SEC Press Digest
SEC Charges CEO With Failing to Disclose Perks to Shareholders
2017-05-11 12:07 PM ET | Newsfile SEC Press Digest
Barclays to Pay $97 Million for Overcharging Clients
2017-05-10 12:02 PM ET | Newsfile SEC Press Digest
William Hinman Named Director of Division of Corporation Finance
2017-05-09 4:10 PM ET | Newsfile SEC Press Digest
SEC Charges Former Staffer With Securities Fraud Violations
2017-05-09 1:06 PM ET | Newsfile SEC Press Digest
Firm, CEO Settle Charges in Ponzi-Like Scheme Involving Life Settlements
2017-05-04 1:21 PM ET | Newsfile SEC Press Digest
SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers
2017-05-03 12:26 PM ET | Newsfile SEC Press Digest
Whistleblower Award of More Than Half-Million Dollars for Company Insider
2017-05-02 4:10 PM ET | Newsfile SEC Press Digest
SEC and NYU to Host Forum on Reviving IPO Market to Help Drive Economy, Create Jobs
2017-05-02 4:10 PM ET | Newsfile SEC Press Digest
Semiconductor Company and Former CFO Settle Accounting Fraud Charges
2017-05-01 4:33 PM ET | Newsfile SEC Press Digest
SEC Charges EB-5 Operator With Securities Fraud
2017-04-28 1:17 PM ET | Newsfile SEC Press Digest
Executives Charged in Connection With Accounting Failures at Government Contractor
2017-04-28 10:43 AM ET | Newsfile SEC Press Digest
Broker Charged With Defrauding Customers
2017-04-25 3:38 PM ET | Newsfile SEC Press Digest
SEC Awards Nearly $4 Million to Whistleblower
2017-04-25 3:36 PM ET | Newsfile SEC Press Digest
Investment Bank VP Charged With Insider Trading
2017-04-24 6:03 PM ET | Newsfile SEC Press Digest
Portfolio Manager Charged With Diverting Nearly $2 Million to Personal Account
2017-04-24 1:23 PM ET | Newsfile SEC Press Digest
Telecom Executives Agree to Pay Penalties For FCPA Violations
2017-04-24 11:19 AM ET | Newsfile SEC Press Digest
SEC Freezes Brokerage Accounts Behind Alleged Insider Trading
2017-04-14 11:07 AM ET | Newsfile SEC Press Digest
SEC Charges Firms Involved in Layering, Manipulation Schemes
2017-03-10 4:39 PM ET | Newsfile SEC Press Digest
Executives Charged With Manipulating Company’s Accounting Systems to Steal Money
2017-03-10 4:29 PM ET | Newsfile SEC Press Digest
SEC Charges Marijuana-Related Company and Executives With Touting Bogus Revenues
2017-03-09 6:16 PM ET | Newsfile SEC Press Digest
SEC Economist Receives Award for Academic Work on Market Insights
2017-03-06 4:01 PM ET | Newsfile SEC Press Digest

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