Aggregated News From Investment Management Regulators

SEC US

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volati

SEC Awards Approximately $3.6 Million to Whistleblower

The Securities and Exchange Commission today announced an award of approximately $3.6 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.

SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports

The Securities and Exchange Commission today announced settled charges against GWFS Equities Inc.

SEC Awards $22 Million to Two Whistleblowers

The Securities and Exchange Commission today announced awards totaling approximately $22 million to two whistleblowers whose information and assistance were of crucial importance to successful SEC en

SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR

The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR).

SEC Charges Under Armour Inc. With Disclosure Failures

The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc.

Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis

The Securities and Exchange Commission today announced that Jessica Wachter has been appointed Chief Economist and Director of the Division of Economic and Risk Analysis (DERA).

SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT

The Securities and Exchange Commission today charged eight companies for failing to disclose in SEC Form 12b-25 filings that their request for seeking a delayed quarterly or annual reporting filing w

Alex Oh Resigns from SEC; Melissa Hodgman Named Acting Director of Enforcement

The Securities and Exchange Commission today announced that Alex Oh has resigned her position as Director of the Division of Enforcement for personal reasons.

SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme

The Securities and Exchange Commission today announced that it filed an emergency action and obtained a temporary restraining order and an asset freeze to stop an alleged Ponzi scheme and misappropri

Increasing Opportunities for Underrepresented Founders and Investors on the Agenda for the SEC Small Business Capital Formation Advisory Committee Meeting on April 30

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee will meet on Friday, April 30, to home in on solutions to increase access to capital for underrepres

Regulator Information

Abbreviation: SEC
Jurisdiction: United States
Email: [email protected]

Recent Articles

SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index

The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volati

Mannet Capital Management (clone of former PSD Agent)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Verge Capital (Clone of EEA authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Capital Finance Strategies Ltd (clone of FCA Authorised firm)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Federal Reserve Board announces the third extension of a rule to bolster the effectiveness of the Small Business Administration’s Paycheck Protection Program (PPP)

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