Latest Regulatory Announcements
Newsroom
Official announcements from the United States Securities and Exchange Commission (SEC) highlighting recent actions taken by the Agency and other newsworthy information. Searches will return results from stories up to two years old.
-
SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded FundWashington, D.C.--(Newsfile Corp. - May 22, 2020) - The Securities and Exchange Commission today announced charges against William Sadleir, the owner of a film...
Banking/Financial Services
2020-05-22 12:36 PM ET | Newsfile SEC Press Digest -
SEC Announces Virtual Conference on Municipal Securities Disclosure
Washington D.C., May 22, 2020...
Banking/Financial Services
2020-05-22 9:00 AM ET | Newsfile SEC Press Digest -
SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
Washington D.C., May 22, 2020 — The Securities and Exchange Commission today announced that it...
Banking/Financial Services
2020-05-22 8:55 AM ET | Newsfile SEC Press Digest -
SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
Washington D.C.--(Newsfile Corp. - May 21, 2020) - The Securities and Exchange Commission today released...
Banking/Financial Services
2020-05-21 1:47 PM ET | Newsfile SEC Press Digest -
SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses
Washington, D.C.--(Newsfile Corp. - May 21, 2020) - The Securities and Exchange Commission today announced that it has voted to adopt amendments to its rules...
Banking/Financial Services
2020-05-21 9:19 AM ET | Newsfile SEC Press Digest -
SEC Announces 2020 Small Business Forum, to Be Held Virtually
Washington D.C., May 20, 2020...
Banking/Financial Services
2020-05-20 3:37 PM ET | Newsfile SEC Press Digest -
SEC Staff to Host July 9 Roundtable on Emerging Markets
Washington D.C., May 19, 2020...
Banking/Financial Services
2020-05-19 8:47 AM ET | Newsfile SEC Press Digest -
SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct
Washington D.C., May 18, 2020...
Banking/Financial Services
2020-05-18 5:20 PM ET | Newsfile SEC Press Digest -
SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability
Washington, D.C.--(Newsfile Corp. - May 15, 2020) - The Securities and Exchange Commission today voted to adopt amendments to the national market system plan...
Banking/Financial Services
2020-05-15 5:48 PM ET | Newsfile SEC Press Digest -
SEC Announces New Investor Advisory Committee Members
Washington D.C., May 15, 2020 — The Securities and Exchange Commission today announced the appointment...
Banking/Financial Services
2020-05-15 11:41 AM ET | Newsfile SEC Press Digest -
SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations
Washington D.C., May 15, 2020...
Banking/Financial Services
2020-05-15 9:05 AM ET | Newsfile SEC Press Digest -
SEC Charges Companies and CEO for Misleading COVID-19 Claims
Washington, D.C.--(Newsfile Corp. - May 14, 2020) - The Securities and Exchange Commission today announced charges in two cases involving companies that claimed in...
Banking/Financial Services
2020-05-14 9:22 AM ET | Newsfile SEC Press Digest -
SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud
Washington, D.C.--(Newsfile Corp. - May 12, 2020) - The Securities and Exchange Commission today announced that it has obtained the appointment of a receiver over...
Banking/Financial Services
2020-05-12 2:36 PM ET | Newsfile SEC Press Digest -
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients
Washington D.C., May 12, 2020...
Banking/Financial Services
2020-05-12 9:12 AM ET | Newsfile SEC Press Digest -
Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency
Washington, D.C.--(Newsfile Corp. - May 11, 2020) - The Securities and Exchange Commission today announced that Peter Uhlmann, Managing Executive in the Office of Chairman...
Banking/Financial Services
2020-05-11 6:30 PM ET | Newsfile SEC Press Digest -
SEC Names John Moses Managing Executive in Chairman's Office
Washington, D.C.--(Newsfile Corp. - May 11, 2020) - The Securities and Exchange Commission today announced that John Moses has been named the Managing Executive in...
Banking/Financial Services
2020-05-11 6:27 PM ET | Newsfile SEC Press Digest -
Chairman Jay Clayton Announces Additions to Executive Staff
Washington, D.C.--(Newsfile Corp. - May 11, 2020) - The Securities and Exchange Commission today released an updated roster of the executive staff of Chairman Jay...
Banking/Financial Services
2020-05-11 6:25 PM ET | Newsfile SEC Press Digest -
SEC Investor Advisory Committee to Meet Virtually on May 21
Washington, D.C.--(Newsfile Corp. - May 7, 2020) - The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on May 21, 2020 by remote...
Banking/Financial Services
2020-05-07 3:53 PM ET | Newsfile SEC Press Digest -
SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations
Washington, D.C.--(Newsfile Corp. - May 6, 2020) - The Securities and Exchange Commission today filed settled charges against registered broker-dealer Bloomberg Tradebook LLC for making...
Banking/Financial Services
2020-05-06 4:46 PM ET | Newsfile SEC Press Digest -
SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans
Washington, D.C.--(Newsfile Corp. - May 6, 2020) - The Securities and Exchange Commission today...
Banking/Financial Services
2020-05-06 2:13 PM ET | Newsfile SEC Press Digest -
SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers
Washington, D.C.--(Newsfile Corp. - May 5, 2020) - The Securities and Exchange Commission announced that it is premiering new multimedia resources to support teachers in...
Banking/Financial Services
2020-05-05 1:53 PM ET | Newsfile SEC Press Digest -
SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings
Washington, D.C.--(Newsfile Corp. - May 4, 2020) - The Securities and Exchange Commission today announced that it is providing temporary, conditional relief for established...
Banking/Financial Services
2020-05-04 2:27 PM ET | Newsfile SEC Press Digest -
SEC Awards Almost $2 Million to Whistleblower
Washington, D.C.--(Newsfile Corp. - May 4, 2020) - The Securities and Exchange Commission today announced an award of nearly $2 million to a whistleblower...
Banking/Financial Services
2020-05-04 9:56 AM ET | Newsfile SEC Press Digest -
Small Business Capital Formation Advisory Committee to Discuss the SEC's Capital Formation Proposal on May 8
Washington, D.C.--(Newsfile Corp. - April 28, 2020) - The Securities and Exchange Commission today released the agenda for the Friday, May 8 meeting of its Small...
Banking/Financial Services
2020-04-28 5:42 PM ET | Newsfile SEC Press Digest -
SEC Awards Over $18 Million to Whistleblower
Washington, D.C.--(Newsfile Corp. - April 28, 2020) - The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower...
Banking/Financial Services
2020-04-28 1:53 PM ET | Newsfile SEC Press Digest