• 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

  • 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

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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