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 Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized BusinessesWashington, D.C.--(Newsfile Corp. - April 8, 2020) - The Securities and Exchange Commission today announced that it is providing temporary, conditional exemptive relief for business...
Banking/Financial Services
2020-04-08 7:51 PM ET | Newsfile SEC Press Digest -
In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
Washington, D.C.--(Newsfile Corp. - April 8, 2020) - The Securities and Exchange Commission today voted...
Banking/Financial Services
2020-04-08 4:39 PM ET | Newsfile SEC Press Digest -
Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data
Washington, D.C.--(Newsfile Corp. - April 6, 2020) - The Securities and Exchange Commission today announced that Cantor Fitzgerald & Co. has agreed to pay $3.2...
Banking/Financial Services
2020-04-06 4:26 PM ET | Newsfile SEC Press Digest -
SEC Awards Approximately $2 Million to Whistleblower
Washington, D.C.--(Newsfile Corp. - April 3, 2020) - The Securities and Exchange Commission today announced an award of approximately $2 million to a whistleblower who...
Banking/Financial Services
2020-04-03 12:05 PM ET | Newsfile SEC Press Digest -
Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period
Washington, D.C.--(Newsfile Corp. - April 2, 2020) - Five federal financial regulatory agencies today announced...
Banking/Financial Services
2020-04-02 11:42 AM ET | Newsfile SEC Press Digest -
SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts
Washington, D.C.--(Newsfile Corp. - April 1, 2020) - The Securities and Exchange Commission has obtained a final judgment against Christian concert promoter Jeffrey E....
Banking/Financial Services
2020-04-01 12:13 PM ET | Newsfile SEC Press Digest -
SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising
Washington, D.C.--(Newsfile Corp. - March 31, 2020) - The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation is hosting a...
Banking/Financial Services
2020-03-31 5:28 PM ET | Newsfile SEC Press Digest -
SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses
Washington, D.C.--(Newsfile Corp. - March 31, 2020) - The Securities and Exchange Commission today announced that its Small Business Capital Formation Advisory Committee will...
Banking/Financial Services
2020-03-31 2:56 PM ET | Newsfile SEC Press Digest -
SEC Awards $450,000 to Whistleblower
Washington, D.C.--(Newsfile Corp. - March 30, 2020) - The Securities and Exchange Commission today announced an award of $450,000 to a whistleblower whose significant information...
Banking/Financial Services
2020-03-30 11:44 AM ET | Newsfile SEC Press Digest -
SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
Washington, D.C.--(Newsfile Corp. - March 26, 2020) - Today, the Securities and Exchange Commission announced...
Banking/Financial Services
2020-03-26 8:20 PM ET | Newsfile SEC Press Digest -
SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19)
Washington, D.C.--(Newsfile Corp. - March 25, 2020) - Today, the Securities and Exchange Commission announced that it is extending the filing periods covered by its...
Banking/Financial Services
2020-03-25 8:40 AM ET | Newsfile SEC Press Digest -
SEC Charges Unregistered Penny Stock Dealer
Washington, D.C.--(Newsfile Corp. - March 24, 2020) - The Securities and Exchange Commission today announced charges against Justin W. Keener d/b/a JMJ Financial for failing...
Banking/Financial Services
2020-03-24 4:17 PM ET | Newsfile SEC Press Digest -
SEC Awards Over $570,000 to Two Whistleblowers
Washington, D.C.--(Newsfile Corp. - March 24, 2020) - The Securities and Exchange Commission today announced awards totaling over $570,000 to two whistleblowers who provided...
Banking/Financial Services
2020-03-24 1:42 PM ET | Newsfile SEC Press Digest -
SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
Washington, D.C.--(Newsfile Corp. - March 23, 2020) - The Securities and Exchange Commission today announced temporary flexibility for registered funds affected by recent market events...
Banking/Financial Services
2020-03-23 9:39 PM ET | Newsfile SEC Press Digest -
SEC Awards Over $1.6 Million to Whistleblower
Washington, D.C.--(Newsfile Corp. - March 23, 2020) - The Securities and Exchange Commission today announced...
Banking/Financial Services
2020-03-23 12:07 PM ET | Newsfile SEC Press Digest -
SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19)
Washington, D.C.--(Newsfile Corp. - March 23, 2020) - The Securities and Exchange Commission today announced that it is providing conditional regulatory relief for registered transfer...
Banking/Financial Services
2020-03-23 9:02 AM ET | Newsfile SEC Press Digest -
SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
Washington, D.C.--(Newsfile Corp. - March 21, 2020) - The U.S. Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by...
Banking/Financial Services
2020-03-21 6:45 PM ET | Newsfile SEC Press Digest -
SEC Emergency Action Stops Digital Asset Scam
Washington, D.C.--(Newsfile Corp. - March 20, 2020) - The Securities and Exchange Commission today announced that it has obtained an asset freeze and other...
Banking/Financial Services
2020-03-20 3:39 PM ET | Newsfile SEC Press Digest -
Jury Finds Investment Adviser and its Owner Liable for Fraud
Washington, D.C.--(Newsfile Corp. - March 16, 2020) - Today, jurors in New Haven, Connecticut, federal court returned a verdict in the Securities and Exchange Commission's favor...
Banking/Financial Services
2020-03-16 4:31 PM ET | Newsfile SEC Press Digest -
Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading - SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor
Washington, D.C.--(Newsfile Corp. - March 14, 2020) - The U.S. Securities and Exchange Commission noticed for immediate effectiveness a proposed rule filing submitted by Cboe...
Banking/Financial Services
2020-03-14 11:15 PM ET | Newsfile SEC Press Digest -
SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Meetings and Provides Conditional Relief from Certain Filing Procedures
Washington, D.C.--(Newsfile Corp. - March 13, 2020) - The Securities and Exchange Commission today announced regulatory relief for funds and investment advisers whose operations may be...
Banking/Financial Services
2020-03-13 7:57 PM ET | Newsfile SEC Press Digest -
SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19)
Washington, D.C.--(Newsfile Corp. - March 13, 2020) - The Securities and Exchange Commission today announced that the SEC staff has published guidance to assist public...
Banking/Financial Services
2020-03-13 5:26 PM ET | Newsfile SEC Press Digest -
SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
Washington, D.C.--(Newsfile Corp. - March 13, 2020) - The Securities and Exchange Commission today announced charges against Denis Georgiyevich Sotnikov and entities he controlled for...
Banking/Financial Services
2020-03-13 4:27 PM ET | Newsfile SEC Press Digest -
SEC Wins Jury Trial Against Microcap Fraudsters
Washington, D.C.--(Newsfile Corp. - March 12, 2020) - Jurors in Los Angeles federal court yesterday returned a verdict in the Securities and Exchange Commission’s...
Banking/Financial Services
2020-03-12 5:40 PM ET | Newsfile SEC Press Digest -
Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC
Washington D.C--(Newsfile Corp. - March 12, 2020) - The Securities and Exchange Commission today announced...
Banking/Financial Services
2020-03-12 1:58 PM ET | Newsfile SEC Press Digest