SEC News
Press Releases
SEC News: Press Releases
- SEC Proposes Amendments to Expand Responsible Retailization of Private Markets September 30, 2026
- SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors September 29, 2026
- SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest September 28, 2026
- SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised September 23, 2026
- SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement September 23, 2026
- SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI September 22, 2026
- SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment September 17, 2026
- SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process September 16, 2026
- SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements September 14, 2026
- Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution September 11, 2026
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