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 Names Brett Redfearn as Director of the Division of Trading and Markets
2017-10-18 4:34 PM ET | Newsfile SEC Press Digest
SEC Announces 2017 Government-Business Forum to Be Held at University of Texas at Austin
2017-10-18 11:06 AM ET | Newsfile SEC Press Digest
Rio Tinto, Former Top Executives Charged With Fraud
2017-10-17 5:03 PM ET | Newsfile SEC Press Digest
SEC Announces Whistleblower Award of More Than a Million Dollars
2017-10-12 10:52 AM ET | Newsfile SEC Press Digest
Lawyers Charged With Assisting a Microcap Fraud Scheme
2017-10-11 3:58 PM ET | Newsfile SEC Press Digest
SEC Files Charges in Snack Company Investment Scam
2017-10-11 3:22 PM ET | Newsfile SEC Press Digest
SEC Proposes Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure
2017-10-11 12:19 PM ET | Newsfile SEC Press Digest
Walter Jospin, Regional Director of the SEC’s Atlanta Office, to Leave the Agency
2017-10-10 4:37 PM ET | Newsfile SEC Press Digest
Robert Evans III Named Chief of the Office of International Corporate Finance in SEC’s Division of Corporation Finance
2017-10-06 5:08 PM ET | Newsfile SEC Press Digest
Investment Adviser Charged in Multi-Million Dollar Options Trading Scheme
2017-10-05 11:19 AM ET | Newsfile SEC Press Digest
SEC Charges Penny-Stock Operators in Push to Crack Down on Repeat Offenders
2017-10-03 4:15 PM ET | Newsfile SEC Press Digest
World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection
2017-10-02 12:42 PM ET | Newsfile SEC Press Digest
Chairman Clayton Provides Update on Review of 2016 Cyber Intrusion Involving EDGAR System
2017-10-02 11:13 AM ET | Newsfile SEC Press Digest
SEC Exposes Two Initial Coin Offerings Purportedly Backed by Real Estate and Diamonds
2017-09-29 5:47 PM ET | Newsfile SEC Press Digest
Former Corporate Insider, Middleman Tipper, and Six Traders Charged With Insider Trading
2017-09-29 4:51 PM ET | Newsfile SEC Press Digest
Fee Rate Advisory #2 for Fiscal Year 2018
2017-09-29 3:04 PM ET | Newsfile SEC Press Digest
Barred Broker Charged in Real Estate Investment Scheme
2017-09-29 3:02 PM ET | Newsfile SEC Press Digest
SEC Provides Regulatory Relief and Assistance for Hurricane Victims
2017-09-29 8:46 AM ET | Newsfile SEC Press Digest
SEC Detects Brokers Defrauding Customers
2017-09-28 5:45 PM ET | Newsfile SEC Press Digest
Andrew Calamari, Regional Director of the SEC’s New York Office, to Leave the Agency After 17 Years of Service
2017-09-28 4:15 PM ET | Newsfile SEC Press Digest
Medical Manufacturer Settles Accounting Fraud Charges
2017-09-28 11:54 AM ET | Newsfile SEC Press Digest
Stock Market Analyst Barred for Illegally Cashing In On His Research Reports
2017-09-26 4:15 PM ET | Newsfile SEC Press Digest
SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
2017-09-25 6:52 PM ET | Newsfile SEC Press Digest
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

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