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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.
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SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today's Equities MarketsWashington D.C., July 10, 2020...
Banking/Financial Services
2020-07-10 3:41 PM ET | Newsfile SEC Press Digest -
SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee
Washington, D.C.--(Newsfile Corp. - July 8, 2020) - The Securities and Exchange Commission today released the agenda for the virtual July 16 special meeting...
Banking/Financial Services
2020-07-08 3:29 PM ET | Newsfile SEC Press Digest -
SEC Adopts Amendments to Exemptive Applications Procedures
Washington, D.C.--(Newsfile Corp. - July 6, 2020) - The Securities and Exchange Commission today announced that it has voted to adopt rule amendments to establish...
Banking/Financial Services
2020-07-06 5:22 PM ET | Newsfile SEC Press Digest -
SEC Charges Alexion Pharmaceuticals With FCPA Violations
Washington, D.C.--(Newsfile Corp. - July 2, 2020) - The Securities and Exchange Commission today announced that Boston-based pharmaceutical company Alexion Pharmaceuticals Inc. has agreed to...
Banking/Financial Services
2020-07-02 8:47 AM ET | Newsfile SEC Press Digest -
SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets
Washington, D.C.--(Newsfile Corp. - July 1, 2020) - The Securities and Exchange Commission today announced the agenda and panelists for the July 9, 2020 staff roundtable on investing...
Banking/Financial Services
2020-07-01 6:31 PM ET | Newsfile SEC Press Digest -
SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers
Washington, D.C.--(Newsfile Corp. - June 29, 2020) - The Securities and Exchange Commission today issued an order to update the filing threshold for broker-dealers’...
Banking/Financial Services
2020-06-29 5:35 PM ET | Newsfile SEC Press Digest -
Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges
Washington, D.C.--(Newsfile Corp. - June 26, 2020) - The Securities and Exchange Commission announced today that it obtained court approval of settlements with Telegram Group...
Banking/Financial Services
2020-06-26 4:17 PM ET | Newsfile SEC Press Digest -
SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin
Washington, D.C.--(Newsfile Corp. - June 25, 2020) - The Securities and Exchange Commission today charged NAC Foundation, its Chief Executive Officer Marcus Andrade, and political...
Banking/Financial Services
2020-06-25 3:47 PM ET | Newsfile SEC Press Digest -
SEC Charges Novartis AG with FCPA Violations
Washington D.C.--(Newsfile Corp. - June 25, 2020) - The Securities and Exchange Commission today announced that Novartis AG, a global pharmaceutical and healthcare company headquartered...
Banking/Financial Services
2020-06-25 12:51 PM ET | Newsfile SEC Press Digest -
Financial Regulators Modify Volcker Rule
Washington, D.C.--(Newsfile Corp. - June 25, 2020) - Five federal regulatory agencies today finalized a rule modifying the Volcker rule’s prohibition on banking entities investing...
Banking/Financial Services
2020-06-25 12:09 PM ET | Newsfile SEC Press Digest -
SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data
Washington D.C.--(Newsfile Corp. - June 24, 2020) - The Securities and Exchange Commission today announced settled charges against broker-dealer SG Americas Securities LLC for failing...
Banking/Financial Services
2020-06-24 11:45 AM ET | Newsfile SEC Press Digest -
SEC Awards $125,000 to Whistleblower
Washington D.C.--(Newsfile Corp. - June 23, 2020) - The Securities and Exchange Commission today announced...
Banking/Financial Services
2020-06-23 11:38 AM ET | Newsfile SEC Press Digest -
Securities and Exchange Commission and Justice Department's Antitrust Division Sign Historic Memorandum of Understanding
Washington, D.C.--(Newsfile Corp. - June 22, 2020) - The Securities and Exchange Commission and the Department of Justice’s Antitrust Division have signed an interagency Memorandum...
Banking/Financial Services
2020-06-22 2:32 PM ET | Newsfile SEC Press Digest -
SEC Extends Relief for Virtual Meetings of Fund Boards
Washington, D.C.--(Newsfile Corp. - June 19, 2020) - Today, the Securities and Exchange Commission announced that it is extending conditional relief from the in-person...
Banking/Financial Services
2020-06-19 2:38 PM ET | Newsfile SEC Press Digest -
SEC Awards Almost $700,000 to Whistleblower
Washington D.C.--(Newsfile Corp. - June 19, 2020) - - The Securities and Exchange Commission today announced an award of almost $700,000 to a whistleblower...
Banking/Financial Services
2020-06-19 1:30 PM ET | Newsfile SEC Press Digest -
SEC Emergency Action Halts Brothers' Cryptocurrency Offering Fraud
Washington, D.C.--(Newsfile Corp. - June 19, 2020) - The Securities and Exchange Commission today announced that it filed an emergency action and obtained a...
Banking/Financial Services
2020-06-19 1:11 PM ET | Newsfile SEC Press Digest -
Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years
Washington D.C.--(Newsfile Corp. - June 19, 2020) - The Securities and Exchange Commission today...
Banking/Financial Services
2020-06-19 11:42 AM ET | Newsfile SEC Press Digest -
Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures
Washington, D.C.--(Newsfile Corp. - June 17, 2020) - The Securities and Exchange Commission today charged international insurance company AmTrust Financial Services Inc. and its former...
Banking/Financial Services
2020-06-17 6:00 PM ET | Newsfile SEC Press Digest -
SEC Names Jennifer S. Leete as Associate Director in Enforcement Division
Washington D.C.--(Newsfile Corp. - June 17, 2020) - The Securities and Exchange Commission today announced that Jennifer S. Leete has been named Associate Director in...
Banking/Financial Services
2020-06-17 12:20 PM ET | Newsfile SEC Press Digest -
SEC Announces Speakers for June 18 Small Business Forum: "Access to Capital: More Critical Now than Ever"
Washington, D.C.--(Newsfile Corp. - June 16, 2020) - The Securities and Exchange Commission today released the program with agenda and speakers for the June 18,...
Banking/Financial Services
2020-06-16 2:08 PM ET | Newsfile SEC Press Digest -
SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million
Washington, D.C.--(Newsfile Corp. - June 12, 2020) - The U.S. Securities and Exchange Commission today announced charges against a Nashville, Tennessee-based securities broker for defrauding...
Banking/Financial Services
2020-06-12 4:07 PM ET | Newsfile SEC Press Digest -
SEC Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic
Washington, D.C.--(Newsfile Corp. - June 11, 2020) - The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against five...
Banking/Financial Services
2020-06-11 5:32 PM ET | Newsfile SEC Press Digest -
FinHub to Host Virtual Meet-Ups
Washington, D.C.--(Newsfile Corp. - June 11, 2020) - The U.S. Securities and Exchange Commission’s Strategic Hub for Innovation and Financial Technology (FinHub) today announc
Banking/Financial Services
2020-06-11 11:55 AM ET | Newsfile SEC Press Digest -
New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud
Washington D.C.--(Newsfile Corp. - June 11, 2020) - The Securities and Exchange Commission’s New York Regional Office will host an educational telephone town hall about...
Banking/Financial Services
2020-06-11 11:26 AM ET | Newsfile SEC Press Digest -
SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims
Washington, D.C.--(Newsfile Corp. - June 9, 2020) - The Securities and Exchange Commission today charged a penny stock trader in Santa Cruz, California, with...
Banking/Financial Services
2020-06-09 4:35 PM ET | Newsfile SEC Press Digest