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.

SEC Announces Agenda for March 9 Investor Advisory Committee Meeting
2017-02-23 3:49 PM ET | Newsfile SEC Press Digest
SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers
2017-02-23 11:47 AM ET | Newsfile SEC Press Digest
SEC to Host Crowdfunding Dialogue February 28
2017-02-21 11:57 AM ET | Newsfile SEC Press Digest
SEC, NASAA Sign Info-Sharing Agreement for Crowdfunding and Other Offerings
2017-02-17 12:14 PM ET | Newsfile SEC Press Digest
SEC Announces Cases Related to Disclosures During Battles for Corporate Control
2017-02-14 4:10 PM ET | Newsfile SEC Press Digest
SEC Charges Fuel Cell Company and Officers With Defrauding Investors
2017-02-14 4:08 PM ET | Newsfile SEC Press Digest
Purported Real Estate Investment Manager Settles Fraud Charges
2017-02-14 12:48 PM ET | Newsfile SEC Press Digest
Morgan Stanley Settles Charges Related to ETF Investments
2017-02-14 12:02 PM ET | Newsfile SEC Press Digest
Brokerage Firm Paying Penalty for Compliance and Trading Surveillance Failures
2017-02-13 2:48 PM ET | Newsfile SEC Press Digest
SEC Charges Chinese Citizens Who Reaped Massive Profits From Insider Trading on Comcast-Dreamworks Acquisition
2017-02-10 2:44 PM ET | Newsfile SEC Press Digest
SEC Announces Agenda for February 15 Meeting of the Advisory Committee on Small and Emerging Companies
2017-02-08 4:12 PM ET | Newsfile SEC Press Digest
Private Equity Adviser Barred From Industry for Improper Withdrawal From Funds
2017-02-07 1:12 PM ET | Newsfile SEC Press Digest
SEC Charges Financial Adviser With Stealing From Client Accounts
2017-02-03 4:09 PM ET | Newsfile SEC Press Digest
SEC Charges Investment Adviser With Stealing Investor Funds
2017-02-02 12:27 PM ET | Newsfile SEC Press Digest
Wenchi Hu, Associate Director in the Division of Trading and Markets, to Leave SEC
2017-01-30 4:27 PM ET | Newsfile SEC Press Digest
OCIE Director Marc Wyatt to Leave SEC
2017-01-30 2:41 PM ET | Newsfile SEC Press Digest
SEC Announces Charges in Hamilton Ticket Resale Ponzi Scheme
2017-01-27 3:28 PM ET | Newsfile SEC Press Digest
Chief Operating Officer Jeffery Heslop to Leave SEC
2017-01-27 10:12 AM ET | Newsfile SEC Press Digest
SEC Charges Two Former Och-Ziff Executives With FCPA Violations
2017-01-26 12:18 PM ET | Newsfile SEC Press Digest
Citigroup Paying $18 Million for Overbilling Clients
2017-01-26 12:18 PM ET | Newsfile SEC Press Digest
Brokerage Firm Charged With Gatekeeper Failures Related to Pump-and-Dump Scheme
2017-01-25 4:58 PM ET | Newsfile SEC Press Digest
SEC Uncovers Cherry-Picking Scheme, Charges Investment Adviser Behind It
2017-01-25 2:56 PM ET | Newsfile SEC Press Digest
Timothy L. Warren, Associate Director of Enforcement in Chicago Office, to Retire After 30 Years of Service
2017-01-24 4:05 PM ET | Newsfile SEC Press Digest
Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program
2017-01-24 12:51 PM ET | Newsfile SEC Press Digest
Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities
2017-01-23 3:56 PM ET | Newsfile SEC Press Digest
SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme
2017-01-23 1:21 PM ET | Newsfile SEC Press Digest
SEC Announces $7 Million Whistleblower Award
2017-01-23 12:11 PM ET | Newsfile SEC Press Digest
Jennifer Diamantis Named Chief of Office of Market Intelligence
2017-01-19 2:33 PM ET | Newsfile SEC Press Digest
Financial Company Charged With Improper Accounting and Impeding Whistleblowers
2017-01-19 1:11 PM ET | Newsfile SEC Press Digest
SEC Chief of Staff Andrew J. Donohue to Leave Agency
2017-01-19 9:57 AM ET | Newsfile SEC Press Digest
SEC Deputy Chief of Staff Nathaniel Stankard to Leave Agency
2017-01-18 2:13 PM ET | Newsfile SEC Press Digest
General Counsel Anne K. Small to Leave SEC
2017-01-18 1:52 PM ET | Newsfile SEC Press Digest
Company Settles Charges Over Undisclosed Perks and Improper Use of Non-GAAP Measures
2017-01-18 1:26 PM ET | Newsfile SEC Press Digest
General Motors Charged With Accounting Control Failures
2017-01-18 11:40 AM ET | Newsfile SEC Press Digest
Medical Device Company Charged With Accounting Failures and FCPA Violations
2017-01-18 11:26 AM ET | Newsfile SEC Press Digest
SEC Charges Businessman With Misusing EB-5 Investments
2017-01-17 4:55 PM ET | Newsfile SEC Press Digest
Allergan Paying $15 Million Penalty for Disclosure Failures During Merger Talks
2017-01-17 4:30 PM ET | Newsfile SEC Press Digest
10 Firms Violated Pay-to-Play Rule By Accepting Pension Fund Fees Following Campaign Contributions
2017-01-17 12:59 PM ET | Newsfile SEC Press Digest
BlackRock Charged With Removing Whistleblower Incentives in Separation Agreements
2017-01-17 12:27 PM ET | Newsfile SEC Press Digest
Chemical and Mining Company in Chile Paying $30 Million to Resolve FCPA Cases
2017-01-13 3:40 PM ET | Newsfile SEC Press Digest
Morgan Stanley Paying $13 Million Penalty for Overbilling Clients and Violating Custody Rule
2017-01-13 1:06 PM ET | Newsfile SEC Press Digest
Citadel Securities Paying $22 Million for Misleading Clients About Pricing Trades
2017-01-13 10:36 AM ET | Newsfile SEC Press Digest
Michael J. Osnato Jr., Chief of Enforcement Division's Complex Financial Instruments Unit, to Leave SEC
2017-01-12 4:22 PM ET | Newsfile SEC Press Digest
BNY Mellon Settles Charges Stemming From Miscalculations of Regulatory Capital Figures
2017-01-12 1:31 PM ET | Newsfile SEC Press Digest
SEC: Biomet Charged With Repeating FCPA Violations
2017-01-12 12:28 PM ET | Newsfile SEC Press Digest
SEC Announces 2017 Examination Priorities
2017-01-12 12:09 PM ET | Newsfile SEC Press Digest
ITG Paying $24 Million for Improper Handling of ADRs
2017-01-12 11:21 AM ET | Newsfile SEC Press Digest
SEC Charges Government Contractor With Inadequate Controls and Books and Records Violations
2017-01-11 2:14 PM ET | Newsfile SEC Press Digest
SEC: Port Authority Omitted Risks to Investors in Roadway Projects
2017-01-10 11:45 AM ET | Newsfile SEC Press Digest
Investment Adviser, Lawyer Settle Charges in Secret Referral Fee Scheme
2017-01-09 3:15 PM ET | Newsfile SEC Press Digest

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