SEC News
Press Releases
SEC News: Press Releases
- SEC Proposes Rescission of Political Contribution Rule for Investment Advisers September 3, 2026
- SEC Investor Advisory Committee to Host Sept. 10 Meeting September 3, 2026
- SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading September 1, 2026
- SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme September 1, 2026
- SEC Proposes to Modernize Rules for Registered Transfer Agents September 1, 2026
- SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity August 31, 2026
- SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations August 28, 2026
- SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors August 27, 2026
- SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor August 18, 2026
- SEC Proposes New Regulation Crypto Assets August 18, 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