SEC News
Press Releases
SEC News: Press Releases
- SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam August 14, 2026
- SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities August 13, 2026
- SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud August 10, 2026
- SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division August 5, 2026
- SEC Announces Continuation of Small Business Advisory Committee Meeting July 30, 2026
- Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy July 27, 2026
- SEC Announces Roundtable on Preparations for 24-Hour Trading July 23, 2026
- SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon July 22, 2026
- SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors July 16, 2026
- SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors July 10, 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