• 10 W Carmel Drive, Suite 400, Carmel, IN 46032
  • klgriffin@griffinfirm.com
  • 317.218.6075
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SEC News

SEC News

Press Releases

RSS SEC News: Press Releases

  • SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations February 2, 2023
  • Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research January 31, 2023
  • SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel January 30, 2023
  • Silvestre Fontes Named Director of Boston Regional Office January 25, 2023
  • SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations January 25, 2023
  • SEC Issues $28 Million Award to Joint Whistleblowers January 24, 2023
  • Fee Rate Advisory #2 For Fiscal Year 2023 January 23, 2023
  • Bloomberg to Pay $5 Million for Misleading Disclosures About Its Valuation Methodologies for Fixed Income Securities January 23, 2023
  • SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets January 20, 2023
  • SEC Seeks Candidates for Small Business Capital Formation Advisory Committee January 20, 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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