SEC News
Press Releases
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
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