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Tag: SEC
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the...
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint...
Defendant, who was arrested and jailed in a federal prison in Puerto Rico, is awaiting transport to NYC on parallel criminal charges The Securities and Exchange Commission today charged Avraham...
The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. The first whistleblower provided...
Fast Food Company Charged for Public Disclosure Violations The Securities and Exchange Commission today charged Stephen J. Easterbrook, former CEO of McDonald’s Corporation, with making false and misleading statements to...
The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. Apps will become Regional Director of the New York Regional Office next month. Thomas Smith and Maurya...
The Securities and Exchange Commission announced charges against Honeywell International Inc. for violations of the Foreign Corrupt Practices Act (FCPA) arising out of bribery schemes that took place in Brazil...
Research Firm CEO Who Interacted with FDA on Company’s Behalf Also Charged The Securities and Exchange Commission today charged Nader Pourhassan, the former CEO of CytoDyn Inc., with fraud and...
Bank Agrees to Pay More than $400 Million to Settle SEC Charges The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered...
The Securities and Exchange Commission today charged venture capital firm Vika Ventures LLC and its CEO and co-founder, George Iakovou, with fraudulently offering and selling more than $6 million of...
The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often...
Company Agrees to Pay a Record Penalty in Regulation FD Cases of $6.25 Million The Securities and Exchange Commission today announced that AT&T agreed to pay a $6.25 million penalty...
The Securities and Exchange Commission charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as ESG...
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend...
The World’s Largest Sustainability Database for Food Products Brings Granular Reporting on GHG Emissions to Allow Brands to Track and Reduce their Carbon Footprint HowGood, an independent research company with...
Commission filed 760 enforcement actions and recovered record $6.4 billion in penalties and disgorgement on behalf of investing public The Securities and Exchange Commission today announced that it filed 760...
Trade Coin Club raised money from more than 100,000 investors worldwide The Securities and Exchange Commission today announced charges against Douver Torres Braga, Joff Paradise, Keleionalani Akana Taylor, and Jonathan...
The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower who provided information and assistance that significantly contributed to a successful SEC enforcement...
The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services and...
The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds and exchange-traded funds to transmit concise and visually engaging shareholder reports and to...
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