• 10 W Carmel Drive, Suite 400, Carmel, IN 46032
  • klgriffin@griffinfirm.com
  • 317.218.6075
  • Mon - Fri: 8:00 - 5:00
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SEC News

SEC News

Press Releases

RSS SEC News: Press Releases

  • Small Business Advisory Committee June Meeting to Focus on Capital Raising and Reducing Funding Gaps for Underrepresented Founders June 2, 2023
  • Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metric May 30, 2023
  • Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securities May 30, 2023
  • SEC Shuts Down WeedGenics $60 Million Cannabis Offering Fraud May 23, 2023
  • Mellissa Campbell Duru Named Division of Corporation Finance’s Deputy Director for Legal and Regulatory Policy May 19, 2023
  • SEC Proposes Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies May 17, 2023
  • SEC Charges 10 Microcap Companies with Securities Offering Registration Violations May 16, 2023
  • SEC Charges Red Rock Secured, Three Executives in Fraud Scheme Targeting Retirement Accounts May 15, 2023
  • Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges May 11, 2023
  • SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures May 11, 2023
SEC News

Division of Investment Management News

RSS 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


Griffin Law Firm is committed to providing the highest quality legal services to our clients. We represent individual investors and investment advisors.

Recent Posts

  • Former Morgan Stanley and Ameriprise Rep Censured By FINRA October 30, 2019
  • Financial Regulation – What’s Next April 26, 2017
  • ADV Time for RIAs March 15, 2017
  • SEC Exams – More Efficiency? March 7, 2017

Contact Us

Griffin Law Firm, LLC
  • 10 W Carmel Drive, Suite 400
    Carmel, Indiana 46032
  • 317.218.6075
  • 317.218.6010
  • klgriffin@griffinfirm.com
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