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Last updated 1 day ago
SEC Announces Enforcement Results for Fiscal Year 2024
2 days ago
The Securities and Exchange Commission today announced that it filed 583 total...
SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports
2 days ago
The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC...
UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit
2 days ago
The Securities and Exchange Commission today announced settled charges against United Parcel...
SEC Charges Advisory Firm La Mancha and its Owner David Kushner with Fraud
3 days ago
The Securities and Exchange Commission today charged David Kushner, a resident of...
SEC Chair Gensler to Depart Agency on January 20
3 days ago
The Securities and Exchange Commission today announced that its 33rd Chair, Gary...
SEC Charges Three Senior Executives in Two Actions Alleging Massive Bribery Scheme Involving Indian Energy Companies Adani Green and Azure Power
4 days ago
The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani...
SEC Charges BIT Mining with FCPA Violations in Connection with Bribery Scheme to Influence Members of Japanese Parliament
6 days ago
The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly...
SEC Charges Invesco Advisers for Making Misleading Statements About Supposed Investment Considerations
16 days ago
The Securities and Exchange Commission today charged Invesco Advisers, Inc. for making...
JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
24 days ago
The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS)...
SEC Announces New Members of Small Business Capital Formation Advisory Committee
25 days ago
The Securities and Exchange Commission today announced four new members of the...
SEC Adopts Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies
30 days ago
The Securities and Exchange Commission today adopted rule amendments and a new...
SEC Small Business Advisory Committee to Discuss Approaches to Venture Capital Fundraising and Challenges Facing Emerging Fund Managers
about 1 month ago
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today...