SEC News
Press Releases
SEC News: Press Releases
- SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations May 20, 2022
- SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud May 17, 2022
- SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer May 16, 2022
- SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund Advisers and Regulation ATS May 9, 2022
- SEC Halts Fraudulent Cryptomining and Trading Scheme May 6, 2022
- SEC Issues Nearly $3.5 Million Award to Four Whistleblowers May 6, 2022
- SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptomining May 6, 2022
- SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit May 3, 2022
- OMWI Reports Highlight Progress in Diversity, Equity and Inclusion May 2, 2022
- SEC Charges CEO and President of Synergy Settlement Services with Fraudulent Operation of Special Needs Pooled Trusts May 2, 2022

SEC News
Division of Investment Management News
SEC News: Investment News
- Nationwide Life Insurance Company October 17, 2019
- Forethought Life Insurance Company October 17, 2019
- Staff Responses to Inquiries Regarding Business Development Companies and Section 61(a) of the Investment Company Act of 1940 October 17, 2019
- Accounting and Disclosure Information 2018-09: Improving Principal Risks Disclosure September 9, 2019
- Redwood Trust, Inc. August 15, 2019
- Lehman Brothers Holdings Inc. August 12, 2019
- Symetra Life Insurance Company and First Symetra National Life Insurance Company of New York August 8, 2019
- XAI Octagon Floating Rate & Alternative Income Term Trust August 6, 2019
- Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund August 6, 2019
- Staff Letter: The BNY Mellon Family of Funds, et al. July 9, 2019