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Last updated 4 days ago
JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
4 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
6 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
10 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
11 days ago
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today...
SEC Charges Four Companies With Misleading Cyber Disclosures
14 days ago
The Securities and Exchange Commission today charged four current and former public...
SEC Charges Advisory Firm WisdomTree with Failing to Adhere to Its Own Investment Criteria For ESG-Marketed Funds
14 days ago
The Securities and Exchange Commission today charged New York-based investment adviser WisdomTree...
SEC Division of Examinations Announces 2025 Priorities
15 days ago
The Securities and Exchange Commission’s Division of Examinations today released its 2025...
SEC Charges Virginia-Based RTX Corp. with Violating Foreign Corrupt Practices Act in Connection with Efforts to Obtain Contracts with the Qatari Military
20 days ago
The Securities and Exchange Commission today announced that RTX Corporation, a Virginia-based...
SEC Charges U.S.-Based Moog Inc. with FCPA Violations for Subsidiary’s Role in Indian Bribery Scheme
25 days ago
The Securities and Exchange Commission today announced that Moog Inc., a New...
SEC Charges Cumberland DRW for Operating as an Unregistered Dealer in the Crypto Asset Markets
25 days ago
The Securities and Exchange Commission today charged Chicago-based Cumberland DRW LLC with...
SEC Issues $12 Million Award to Joint Whistleblowers
25 days ago
The Securities and Exchange Commission today announced a $12 million award to...
SEC Charges Rimar Capital Entities and Owner Itai Liptz for Defrauding Investors by Making False and Misleading Statements About Use of Artificial Intelligence
26 days ago
The Securities and Exchange Commission today announced charges against Rimar Capital USA...