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.

Pharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
2017-09-22 1:03 PM ET | Newsfile SEC Press Digest
SEC Announces Agenda for October 12 Investor Advisory Committee Meeting
2017-09-22 12:12 PM ET | Newsfile SEC Press Digest
SEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts
2017-09-22 10:50 AM ET | Newsfile SEC Press Digest
SEC Adopts Interpretive Guidance on Pay Ratio Rule
2017-09-21 4:31 PM ET | Newsfile SEC Press Digest
Telecommunications Company Paying $965 Million For FCPA Violations
2017-09-21 1:54 PM ET | Newsfile SEC Press Digest
SEC Chairman Clayton Issues Statement on Cybersecurity
2017-09-20 8:23 PM ET | Newsfile SEC Press Digest
Thomas J. Butler Named an Associate Regional Director for Examinations in New York Regional Office
2017-09-20 1:07 PM ET | Newsfile SEC Press Digest
CEO Charged With Using Secret Accounts for Insider Trading in Company Stock
2017-09-20 12:22 PM ET | Newsfile SEC Press Digest
Catherine McGuire to Retire After More Than 40 Years at the SEC
2017-09-19 3:42 PM ET | Newsfile SEC Press Digest
Ken C. Joseph, Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, to Leave SEC After 21 Years of Service
2017-09-15 2:51 PM ET | Newsfile SEC Press Digest
SunTrust Charged With Improperly Recommending Higher-Fee Mutual Funds
2017-09-14 11:29 AM ET | Newsfile SEC Press Digest
SEC Monitoring Impact of Hurricane Irma on Capital Markets, Continues to Monitor Impact of Hurricane Harvey
2017-09-13 5:45 PM ET | Newsfile SEC Press Digest
Commission Statement on T+2 Implementation
2017-09-11 5:39 PM ET | Newsfile SEC Press Digest
SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
2017-09-11 12:37 PM ET | Newsfile SEC Press Digest
Bridget Fitzpatrick Named Chief Litigation Counsel
2017-09-07 4:29 PM ET | Newsfile SEC Press Digest
State Street Paying Penalties to Settle Fraud Charges and Disclosure Failures
2017-09-07 11:11 AM ET | Newsfile SEC Press Digest
SEC Announces Agenda for September 13 Meeting of the Advisory Committee on Small and Emerging Companies
2017-09-06 3:13 PM ET | Newsfile SEC Press Digest
Radio Host Charged With Concert Ticket Investment Scam
2017-09-06 11:41 AM ET | Newsfile SEC Press Digest
SEC Names Dalia Blass as Director of the Division of Investment Management
2017-08-31 5:22 PM ET | Newsfile SEC Press Digest
Chairman Clayton Names Executive Staff
2017-08-31 5:21 PM ET | Newsfile SEC Press Digest
SEC Names Jeffrey Harris as Director of the Division of Economic and Risk Analysis
2017-08-31 5:20 PM ET | Newsfile SEC Press Digest
SEC and NYU to Host Forum on Exchange-Traded Products
2017-08-31 3:18 PM ET | Newsfile SEC Press Digest
Former Pharma Company Accountant, Three Others Charged With Insider Trading
2017-08-31 1:27 PM ET | Newsfile SEC Press Digest
SEC Monitoring Market Impact of Hurricane Harvey
2017-08-30 5:47 PM ET | Newsfile SEC Press Digest
Fee Rate Advisory #1 for Fiscal Year 2018
2017-08-24 4:53 PM ET | Newsfile SEC Press Digest
Muni Bond Issuer and Underwriter Charged With Disclosure Failures
2017-08-23 12:41 PM ET | Newsfile SEC Press Digest
SEC Charges Investment Adviser With Defrauding Professional Athlete and His Wife
2017-08-22 2:58 PM ET | Newsfile SEC Press Digest
Hedge Fund Adviser Charged for Inadequate Controls to Prevent Insider Trading
2017-08-21 3:01 PM ET | Newsfile SEC Press Digest
Commission and Commission Staff Issue Updates to Interpretive Guidance on Revenue Recognition
2017-08-18 5:26 PM ET | Newsfile SEC Press Digest
Banca IMI Securities to Pay $35 Million for Improper Handling of ADRs in Continuing SEC Crackdown
2017-08-18 1:13 PM ET | Newsfile SEC Press Digest
SEC Uncovers Wide-Reaching Insider Trading Scheme
2017-08-16 3:32 PM ET | Newsfile SEC Press Digest
SEC Charges KPMG with Audit Failures
2017-08-15 11:07 AM ET | Newsfile SEC Press Digest
SEC Files Charges in Oil Drilling Investment Scheme
2017-08-11 11:01 AM ET | Newsfile SEC Press Digest
SEC Staff Publishes Report on Access to Capital and Market Liquidity
2017-08-08 4:42 PM ET | Newsfile SEC Press Digest
Investment Management Director David W. Grim to Leave SEC
2017-08-03 11:02 AM ET | Newsfile SEC Press Digest
Donna Esau Named Associate Regional Director for Examinations in Atlanta Regional Office
2017-08-02 2:40 PM ET | Newsfile SEC Press Digest
Overseas Stock Manipulator Settles SEC Charges
2017-08-02 10:11 AM ET | Newsfile SEC Press Digest
SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses
2017-07-31 5:48 PM ET | Newsfile SEC Press Digest
SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees
2017-07-31 12:58 PM ET | Newsfile SEC Press Digest
SEC Announces Whistleblower Award of More Than $1.7 Million
2017-07-27 1:47 PM ET | Newsfile SEC Press Digest
Halliburton Paying $29.2 Million to Settle FCPA Violations
2017-07-27 11:10 AM ET | Newsfile SEC Press Digest
Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
2017-07-26 5:48 PM ET | Newsfile SEC Press Digest
SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities
2017-07-25 4:33 PM ET | Newsfile SEC Press Digest
SEC Announces $2.5 Million Whistleblower Award
2017-07-25 2:00 PM ET | Newsfile SEC Press Digest
SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
2017-07-24 11:07 AM ET | Newsfile SEC Press Digest
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

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