| | Angela A. Hung, Katherine G. Carman, Jennifer Cerully, Jeff Dominitz, Kathryn | SEC-PR |
| | Shareholders’ ability to redeem shares on demand is a defining feature of open-end funds. | SEC-PR |
| | 2019 Summary Report of Commission Staff’s Examinations of | SEC-PR |
| | 2016 Summary Report of Commission Staff’s Examinations of | SEC-PR |
| | Press Release: Statement of the Securities and Exchange Commission on the Death of Former Commissioner James J. Needham | SEC-PR |
| | Individual investors primarily use marketable orders when they instruct their broker to buy or | SEC-PR |
| | Joint Cftc-sec Advisory Committee on Emerging Regulatory Issues | SEC-PR |
| | In re STORY & COMPANY | SEC-PR |
| | Daniel M. Hawke to Step Down as Director of Philadelphia Office | SEC-PR |
| | Press Release: SEC Votes to Adopt Temporary Rule on Principal Trades With Certain Advisory Clients; Also Votes to Propose Rule Amendments Regarding Interpretive Rules Under the Advisers Act Affecting Broker-Dealers | SEC-PR |
| | Neil R. Cole | SEC-PR |
| | SEC v. Leopold, Ross, Teal, Montrose, Cowgill, Ozer, and Schmidt, Lit. Rel. No. 20260-0526 (May 14, 2026), The SEC alleged that Sam Leopold, Richard R. Ross, Phillip D. Teal, James T. Montrose, Norman B. Cowgill, Jay S. Ozer, and Bradley J. Schmidt violated securities laws through fraudulent activities. | SEC-LR |
| | Press Release: SEC Approves PCAOB Auditing Standard No. 5 Regarding Audits of Internal Control Over Financial Reporting; Adopts Definition of "Significant Deficiency" | SEC-PR |
| | This is a report of the staff of the U.S. Securities and Exchange Commission. | SEC-PR |
| | Securities and Exchange Commission v. Mojave Valley Resort, Inc. et al., No. C-23-01234 (C.D. Cal. Apr. 15, 2024), alleged that defendants made fraudulent misrepresentations to municipal bond investors by falsely claiming that bond proceeds were secured by valid deeds of trust on leasehold interests in Indian land | SEC-LR |
| | SEC v. Patel, No. 26-cv-03456 (S.D.N.Y. Apr. 20, 2026), alleged securities fraud through misleading statements about a cryptocurrency investment platform | SEC-LR |
| | The United States has been the single greatest market for capital formation over the past century. Our market structure and regulatory | SEC-PR |
| | Comp Pr2017 194 Wilson | SEC-PR |
| | Staff Report on Algorithmic Trading in U.S. Capital Markets | SEC-PR |
| | Press Release: SEC Conducts Major Securities Market Oversight Training Program in East Africa | SEC-PR |
| | This document identifies selected 2015 examination priorities of the Office of Compliance | SEC-PR |
| | SEC v. Patel et al., No. 1:26-cv-00123 (S.D.N.Y. Apr. 20, 2026), SEC alleged that Patel and others engaged in securities fraud by making false statements to investors regarding the financial health of the company. | SEC-LR |
| | Commission Statement on Implementation of Internal Control Reporting Requirements | SEC-PR |
| | SEC v. Lucent Technologies Inc. et al., No. ______ (S.D.N.Y. Apr. 20, 2026), The SEC alleged that Lucent Technologies Inc. and certain individuals engaged in fraudulent accounting practices and misstated financial results. | SEC-LR |
| 2026-04-07 | | SEC Announces Enforcement Results for Fiscal Year 2025 | SEC-PR |
| 2026-01-29 | | United States v. Curcio et al., S.D.N.Y. (Jan. 29, 2026), a jury convicted Curcio of conspiracy to commit wire fraud and wire fraud for selling sports and Pokémon trading cards with forged PSA grades. | DOJ-SDNY |
| 2026-01-01 | | DISCLAIMER: This statement represents the views of the staff of the Division of Examinations. It is not a | SEC-PR |
| 2025-12-05 | | SEC v. BEAR (S.D.N.Y. Dec. 5, 2025), defs:body | SEC-LR |
| 2025-12-05 | | SEC v. BEAR (S.D.N.Y. Dec. 5, 2025), defs:body | SEC-LR |
| 2025-12-05 | | SEC v. BEAR (S.D.N.Y. Dec. 5, 2025), defs:body | SEC-LR |
| 2025-11-21 | | United States v. Nathan Ochsner, No. 3:25-cv-02635 (S.D. Tex.) · Judgment | SEC-LR |
| 2025-09-18 | | SEC v. Ozy Media Inc (S.D.N.Y. Sept. 18, 2025), defs:caption | SEC-LR |
| 2025-08-04 | | SEC v. Feingold et al Order on Motion for (S.D.N.Y. Aug. 4, 2025), Complaint, llm-upgrade | SEC-LR |
| 2025-07-21 | | SEC v. Suyun Gu et al., No. 21-17578 (D.N.J. Sep. 6, 2024), SEC’s motion for summary judgment was granted. | SEC-LR |
| 2025-07-15 | | SEC v. GORDON J. COBURN and (S.D.N.Y. Jul. 15, 2025), Complaint, defs:body | SEC-LR |
| 2025-06-18 | | SEC v. Patel, No. 1:20-cv-05227 (S.D.N.Y. June 18, 2025), alleged securities fraud through deceptive misrepresentations regarding the financial condition of a cryptocurrency platform | SEC-LR |
| 2025-06-18 | | SEC v. John M. Fife, No. 26330 (S.D.N.Y. Sept. 3, 2020), llm-upgrade | SEC-LR |
| 2025-06-10 | | SEC to Resume Processing of Registration Applications From Swiss-Based Investment Advisers | SEC-PR |
| 2025-06-04 | | Securities and Exchange Commission v. Koutoulas, No. 24-12376 (11th Cir. filed May 8, 2025), appeal dismissed as moot after Commission concluded investigation and no longer sought subpoena enforcement | SEC-LR |
| 2025-04-29 | | Comp Pr2025 71 | SEC-PR |
| 2025-04-21 | | In the Matter of the Claim for Award | SEC-PR |
| 2025-02-13 | | NEAR v. DAIICHI SANKYO, INC., No. 1:15-cv-07045 · Judgment · S.D.N.Y. · Jan. 28, 2025 | SEC-LR |
| 2025-01-01 | | United States v. Balina, No. 1:22-cv-00950 (W.D. Tex. Jan. 1, 2025) — SEC and Defendant Jointly Stipulate to Dismiss Enforcement Action with Prejudice | SEC-LR |
| 2024-12-11 | | United States v. Maroni, S.D.N.Y. (Dec. 11, 2024), the United States settled a civil fraud action after Maroni allegedly submitted false payroll and employee‑headcount information to obtain and obtain forgiveness for Paycheck Protection Program loans | DOJ-SDNY |
| 2024-11-18 | | SEC v. Defendant For Violating Antifraud Provisions (S.D.N.Y. Nov. 18, 2024), Judgment, llm-upgrade | SEC-LR |
| 2024-10-07 | | Atlanta Businessman Convicted of Defrauding Former NBA Players Dwight Howard and Chandler Parsons (Oct. 7, 2024) | DOJ-SDNY |
| 2024-09-25 | | In re Kenneth E. Shipley | SEC-PR |
| 2024-09-25 | | In re Alphabet Inc. | SEC-PR |
| 2024-09-25 | | In re Mitchell P. Rales | SEC-PR |
| 2024-09-25 | | In re The Goldman Sachs Group | SEC-PR |
| 2024-09-25 | | In re Oaktree Capital | SEC-PR |
| 2024-09-25 | | In re Adage Capital Management | SEC-PR |
| 2024-09-25 | | In re FIG LLC | SEC-PR |
| 2024-07-17 | | SEC Awards More Than $37 Million to a Whistleblower | SEC-PR |
| 2024-06-20 | | United States v. Christos Spyropoulos et al., S.D.N.Y. June 20, 2024, Defendants admitted inflating payroll and employee headcounts in Paycheck Protection Program loan applications and agreed to pay $4,646,700.21 to resolve the false‑claims action. | DOJ-SDNY |
| 2024-06-11 | | United States v. et al., No. 26-cr-245 (S.D.N.Y. Apr. 20, 2026), alleged conspiracy to distribute controlled substances and obstruct justice through coordinated efforts with the New York State Office of Court Administration to secure access to Rockland County Drug Court for participants with limited English proficiency | DOJ-SDNY |
| 2024-06-11 | | United States v. New York State Unified Court System, Office of Court Administration, No. 24-cv-4872 (S.D.N.Y. June 11, 2024), resolved a Title VI complaint by entering into a memorandum of understanding requiring the Rockland County Drug Treatment Court to provide meaningful language access to participants with limited English proficiency | DOJ-SDNY |
| 2024-05-28 | | UNITED STATES v. LINCARE INC., No. 24228518 USD · Indictment · S.D.N.Y. · Jan. 29, 2018 | DOJ-SDNY |
| 2024-05-23 | | United States v. Lincare Inc., No. 18 Civ. 783 (PGG) (S.D.N.Y. Jan. 29, 2018) · Indictment · S.D.N.Y. · Jan. 29, 2018 | DOJ-SDNY |
| 2024-05-21 | | United States v. LIN CARE INC. · Information · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-05-20 | | United States v. LIN CARE INC. · Indictment · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-05-16 | | In 2000, the Commission adopted Regulation S‑P, which: (1) broadly requires broker- | SEC-PR |
| 2024-05-13 | | SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers | SEC-PR |
| 2024-05-08 | | United States v. Lincare Inc. · Complaint Filed · S.D.N.Y. · 2013 | DOJ-SDNY |
| 2024-05-02 | | United States v. Lincare Inc. · Complaint Filed · S.D.N.Y. · Jan. 29, 2018 | DOJ-SDNY |
| 2024-05-01 | | United States v. Lincare Inc., No. 18 Civ. 783 (PGG) (S.D.N.Y.) · Stipulation and Order of Settlement and Dismissal | DOJ-SDNY |
| 2024-05-01 | | United States v. Lincare Inc., No. <UNKNOWN> · Judgment — Settlement and Dismissal · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-04-24 | | United States v. Lincare Inc., No. 18 Civ. 783 (PGG) (S.D.N.Y.) · Indictment | DOJ-SDNY |
| 2024-04-18 | | UNITED STATES v. LIN CARE INC. · Complaint Filed · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-04-10 | | United States v. Lincare Inc., No. 18 Civ. 783 (PGG) (S.D.N.Y. Jan. 29, 2018) · Superseding Indictment | DOJ-SDNY |
| 2024-04-09 | | United States v. Lincare Inc., No. [Case Number] (S.D.N.Y. [Date]) — Government alleges defendant violated the False Claims Act by billing for non-medically necessary respiratory equipment rentals and offering improper coinsurance waivers | DOJ-SDNY |
| 2024-04-04 | | United States v. LIN CARE INC. · Complaint Filed · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-04-03 | | United States v. Lincare Inc., No. 18 Civ. 783 (PGG) (S.D.N.Y. 2018) · Complaint Filed | DOJ-SDNY |
| 2024-03-28 | | United States v. Lincare Inc., No. 18 Civ. 783 (PGG) (S.D.N.Y.) · Complaint Filed · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-03-27 | | SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet | SEC-PR |
| 2024-03-27 | | United States v. LIN CARE INC. · Indictment · S.D.N.Y. | DOJ-SDNY |
| 2024-03-14 | | United States v. Lincare Inc. · Indictment · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-02-29 | | United States v. LIN CARE INC. · Complaint Filed · S.D.N.Y. | DOJ-SDNY |
| 2024-02-29 | | United States v. LIN CARE INC., No. [Case Number] (S.D.N.Y. [Date]) · Indictment | DOJ-SDNY |
| 2024-02-22 | | United States v. Lincare Inc., No. <Case Number> (S.D.N.Y. <Date>) · Indictment · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-02-22 | | UNITED STATES v. ODOGWU BANYE MMOBUOSI, a/k/a "Dozy Mmobuosi", No. 23 Cr. 601 (S.D.N.Y.) · Indictment · S.D.N.Y. · Apr. 23, 2023 | DOJ-SDNY |
| 2024-02-21 | | United States v. Agri-Fintech Holdings, et al. · Superseding Indictment · S.D.N.Y. · 2023 | DOJ-SDNY |
| 2024-02-06 | | UNITED STATES v. LINCARE INC., No. 18 Civ. 783 (PGG) · Complaint Filed · S.D.N.Y. · Jan. 29, 2018 | DOJ-SDNY |
| 2024-02-02 | | United States v. Lincare Inc., No. <UNKNOWN> · Judgment · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-02-02 | | United States v. Lincare Inc. et al., S.D.N.Y. · Indictment | DOJ-SDNY |
| 2024-01-31 | | United States v. Lincare Inc. · Complaint Filed · S.D.N.Y. · 2026-05-05 | DOJ-SDNY |
| 2024-01-30 | | United States v. Lincare Inc. · Indictment · S.D.N.Y. | DOJ-SDNY |
| 2024-01-26 | | United States v. Lincare Inc. · Complaint Filed · S.D.N.Y. · May 7, 2026 | DOJ-SDNY |
| 2024-01-22 | | United States v. Lincare Inc., No. [Case Number] (S.D.N.Y. [Date]) — Government intervenes in qui tam action alleging False Claims Act violations regarding non-medically necessary respiratory equipment rentals and kickbacks | DOJ-SDNY |
| 2024-01-22 | | United States v. Lincare Inc. · Complaint Filed · S.D.N.Y. · Jan. 1, 2013 | DOJ-SDNY |
| 2024-01-19 | | United States v. Lincare Inc., No. [Case Number] (S.D.N.Y. [Date]) · Indictment | DOJ-SDNY |
| 2024-01-16 | | United States v. Lin Care Inc., No. 1:18-cv-00423 (S.D.N.Y. Jan. 29, 2018) · Indictment | DOJ-SDNY |
| 2024-01-01 | | SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections | SEC-PR |
| 2024-01-01 | | Comp Pr2024 198 | SEC-PR |
| 2024-01-01 | | Comp Pr2024 107 | SEC-PR |
| 2024-01-01 | | SEC Monitoring Impact of Hurricane Helene on Capital Markets | SEC-PR |
| 2023-07-26 | | Firms have accelerated their use of certain newer technologies, such as predictive data | SEC-PR |
| 2023-07-26 | | SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet | SEC-PR |
| 2023-07-26 | | Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker- | SEC-PR |
| 2023-07-21 | | SEC, NASAA, and Wisconsin DFI to Host Investor Roundtable in Madison, Wisconsin on July 25 | SEC-PR |
| 2023-07-13 | | Comp Pr2023 133 | SEC-PR |
| 2023-07-12 | | Daily Computation of Customer and Broker-Dealer Reserve Requirements under the | SEC-PR |
| 2023-07-12 | | Rule 15c3-3, known as the Customer Protection Rule, requires broker-dealers that maintain | SEC-PR |
| 2023-07-12 | | In the Matter of the Claim for Award | SEC-PR |
| 2023-07-07 | | SEC v. Wang, No. 1:23-cv-00131 (S.D.N.Y. Jun. 16, 2023) — Judgment | SEC-LR |
| 2023-05-05 | | SEC Issues Largest-Ever Whistleblower Award | SEC-PR |
| 2023-04-25 | | SEC v. FTX Trading Ltd. (S.D.N.Y. Apr. 25, 2023), Judgment, defs:caption | SEC-LR |
| 2023-03-31 | | SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution | SEC-PR |
| 2023-03-31 | | SEC Proposes Regulation Best Execution | SEC-PR |
| 2023-03-31 | | SEC Proposes Rules to Amend Minimum Pricing Increments and Access Fee Caps and to Enhance the Transparency of Better Priced Orders | SEC-PR |
| 2023-03-15 | | critical infrastructure sectors “whose assets, systems, and networks, whether physical or | SEC-PR |
| 2023-03-15 | | Ho Wan Kwok, 豪万郭（音译）a/k/a，“MILES Guo”别称“迈乐斯郭”因策划超过 10 亿美元的欺诈阴谋而被捕 | DOJ-SDNY |
| 2023-02-16 | | United States v. Huertas et al., No. 23-MJ-00123 (S.D.N.Y. Feb. 16, 2023), seven defendants indicted for allegedly stealing at least $1 million through identity theft, bank account takeovers, and impersonation of victims at financial institutions | DOJ-SDNY |
| 2023-01-18 | | Amazon Cited By OSHA Based On SDNY Referrals For Serious Violations That Exposed Workers To Safety Hazards (Jan. 18, 2023) | DOJ-SDNY |
| 2023-01-01 | | SEC Awards Approximately $18 Million to Three Whistleblowers | SEC-PR |
| 2023-01-01 | | SEC Adopts Amendments to Exemption From National Securities Association Membership | SEC-PR |
| 2023-01-01 | | As Required by Section 6 of the Credit Rating Agency Reform Act of 2006 | SEC-PR |
| 2023-01-01 | | Comp Pr2023 37 | SEC-PR |
| 2023-01-01 | | As self-regulatory organizations, exchanges are subject to unique principles and processes | SEC-PR |
| 2023-01-01 | | SEC v. Charnas, Litig. Release No. LR-25788 (Jan. 1, 2023) | SEC-LR |
| 2022-12-27 | | SUMMARY: The Securities and Exchange Commission (“Commission” or “SEC”) is | SEC-PR |
| 2022-09-29 | | United States v. Deripaska et al., S.D.N.Y. (Sept. 29, 2022), the indictment alleged that Deripaska and co‑defendants conspired to violate United States sanctions on Deripaska and his entity and obstructed justice by deleting records. | DOJ-SDNY |
| 2022-07-15 | | SEC v. John David Mcafee and (S.D.N.Y. Jul. 15, 2022), defs:caption | SEC-LR |
| 2022-07-13 | | Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals | SEC-PR |
| 2022-06-30 | | United States v. New York City Police Department, No. 22-cv-5890 (S.D.N.Y. June 30, 2022), alleged a pattern or practice of gender-biased policing in the Special Victims Division's investigations of sexual assault crimes and treatment of survivors | DOJ-SDNY |
| 2022-06-13 | | U.S. Attorney Announces $1.5 Million Settlement With Tzumi Innovations, LLC For Selling Unregistered Antimicrobial Household Products During The Covid-19 Pandemic (Jun. 13, 2022) | DOJ-SDNY |
| 2022-05-17 | | Comp Pr2022 84 | SEC-PR |
| 2022-03-30 | | SEC Proposes Rules to Enhance Disclosure and Investor Protection Relating to Special Purpose Acquisition Companies, Shell Companies, and Projections | SEC-PR |
| 2022-03-30 | | SPAC IPOs and de-SPAC transactions can be used by private companies to enter the public | SEC-PR |
| 2022-03-25 | | SEC Awards $1.25 Million to Whistleblower | SEC-PR |
| 2022-01-01 | | Comp Pr2022 1 | SEC-PR |
| 2022-01-01 | | SEC v. Spanish, No. ______ (S.D.N.Y. ______), The SEC alleged that Spanish violated federal securities laws by engaging in fraudulent activities. | SEC-LR |
| 2022-01-01 | | SEC Awards More Than $37 Million to Whistleblower | SEC-PR |
| 2022-01-01 | | This is a report of the Staff of the U.S. Securities and Exchange Commission. Staff reports, Investor Bulletins, | SEC-PR |
| 2022-01-01 | | SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers | SEC-PR |
| 2022-01-01 | | Comp Pr2022 145 | SEC-PR |
| 2021-11-10 | | In the Matter of the Claims for Awards | SEC-PR |
| 2021-08-06 | | 1 The Commission also concludes that, if the monetary sanctions ordered in connection with | SEC-PR |
| 2021-07-21 | | SEC Awards Nearly $3 Million to Whistleblower | SEC-PR |
| 2021-06-21 | | In the Matter of the Claim for an Award | SEC-PR |
| 2021-05-17 | | In the Matter of the Claims for an Award | SEC-PR |
| 2021-05-17 | | SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions | SEC-PR |
| 2021-04-28 | | SEC v. Mark J. Ahn, No. 1:21-cv-10203-ADB (D. Mass. Apr. 27, 2021), entered a judgment against Mark J. Ahn. | SEC-LR |
| 2021-04-20 | | Securities and Exchange Commission v. Sheng-Wen Cheng, No. 1:21-cv-3456 · Complaint Filed · S.D.N.Y. | SEC-LR |
| 2021-04-15 | | SEC Awards Over $50 Million to Joint Whistleblowers | SEC-PR |
| 2021-04-06 | | SEC v. <UNKNOWN>, No. 1:15-cv-07175 (S.D.N.Y. Dec. 17, 2015) · Complaint Filed | SEC-LR |
| 2021-03-29 | | In re Claim for Award | SEC-PR |
| 2021-03-17 | | United States v. German et al., S.D.N.Y. Mar. 17, 2021, charged with wire fraud and aggravated identity theft in connection with a COVID-19 unemployment benefit scheme that resulted in the loss of more than $1.4 million | DOJ-SDNY |
| 2021-03-04 | | In the Matter of the Claims for Award | SEC-PR |
| 2021-03-01 | | SEC Awards Over $500,000 to Two Whistleblowers | SEC-PR |
| 2021-02-19 | | In the Matter of the Claim for an Award | SEC-PR |
| 2021-01-01 | | Acting Enforcement Director Marc P. Berger to Depart the Commission | SEC-PR |
| 2021-01-01 | | SEC Awards Approximately $36 Million to Whistleblower | SEC-PR |
| 2021-01-01 | | SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers | SEC-PR |
| 2021-01-01 | | SEC Awards More Than $2 Million to Whistleblower for Successful Related Action | SEC-PR |
| 2020-12-14 | | In the Matter of the Claim for an Award | SEC-PR |
| 2020-09-25 | | In the Matter of the Claim for an Award | SEC-PR |
| 2020-09-01 | | In the Matter of the Claim for an Award | SEC-PR |
| 2020-08-31 | | In the Matter of the Claims for an Award | SEC-PR |
| 2020-08-06 | | United States v. Chong Sik Yu et al., S.D.N.Y. Aug. 6, 2020, Chong Sik Yu and Yunseo Lee were arrested and charged with conspiring to unlawfully export dual-use electronics components in violation of the Export Control Reform Act and to commit wire fraud, bank fraud, and money laundering. | DOJ-SDNY |
| 2020-07-22 | | SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information | SEC-PR |
| 2020-06-29 | | Order Re Sec’s Motion for Officer-director Bar Against | SEC-LR |
| 2020-06-22 | | United States v. New York City et al., <Case Number> (S.D.N.Y. June 22, 2020), The United States Attorneys announced the availability of special telephone numbers to receive complaints of possible violations of federal election laws relating to the primary election in New York City and other counties in their districts. | DOJ-SDNY |
| 2020-06-19 | | SEC Awards Almost $700,000 to Whistleblower | SEC-PR |
| 2020-04-20 | | Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act | SEC-PR |
| 2020-04-16 | | SEC Awards Over $27 Million to Whistleblower | SEC-PR |
| 2020-01-01 | | Enforcement Co-Director Steven Peikin to Depart | SEC-PR |
| 2020-01-01 | | SEC Issues $2.4 Million Whistleblower Award | SEC-PR |
| 2020-01-01 | | SEC Awards Over $10 Million to Whistleblower | SEC-PR |
| 2020-01-01 | | SEC Proposes Data Security Enhancements to the CAT NMS Plan | SEC-PR |
| 2020-01-01 | | SEC Modernizes Framework for Fund Valuation Practices | SEC-PR |
| 2020-01-01 | | SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities | SEC-PR |
| 2020-01-01 | | SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8 | SEC-PR |
| 2020-01-01 | | SEC Releases 2020 Office of Credit Rating Reports | SEC-PR |
| 2020-01-01 | | Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office | SEC-PR |
| 2020-01-01 | | SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets | SEC-PR |
| 2019-10-22 | | Modernization of Regulation S-K Items 101, 103, and 105 | SEC-PR |
| 2019-07-23 | | In the Matter of the Claim for Award | SEC-PR |
| 2019-06-05 | | SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals | SEC-PR |
| 2019-06-03 | | In the Matter of the Claim for Award | SEC-PR |
| 2019-03-14 | | Complaint 2019 03 14 0 | SEC-PR |
| 2019-01-01 | | SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019 | SEC-PR |
| 2019-01-01 | | SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies | SEC-PR |
| 2018-12-20 | | SEC v. <Defendant in Title Case> et al., No. 1:18-cv-00954 (S.D. Fla. Aug. 30, 2018) · Complaint Filed · Complaint For Violative Conduct | SEC-LR |
| 2018-09-28 | | SEC v. Unaoil Limited (S.D.N.Y. Sept. 28, 2018), Complaint, llm-upgrade | SEC-LR |
| 2018-08-21 | | United States v. Parisi, No. 18-cr-00897 (S.D.N.Y. Aug. 20, 2018), Guy Parisi was indicted for conspiracy, mail fraud, and false statements arising from his attempt to embezzle funds from a decedent's estate assets. | DOJ-SDNY |
| 2018-07-12 | | Manhattan U.S. Attorney and FBI Announce Recovery of Stolen Robert Motherwell Painting (Jul. 12, 2018) | DOJ-SDNY |
| 2018-07-10 | | United States v. McKinney, No. 18-cr-00XXX (S.D.N.Y. July 10, 2018), McKinney pleaded guilty to conspiring to violate airport security requirements and to operate an unlicensed money transmitting business. | DOJ-SDNY |
| 2018-06-28 | | SUMMARY: We are adopting amendments to the definition of “smaller reporting company” as | SEC-PR |
| 2018-06-19 | | Message from the Chairman. . . . . . . . . . . . . . . . 1 | SEC-PR |
| 2018-04-05 | | In the Matter of the Claim for Award | SEC-PR |
| 2018-03-19 | | SEC Announces Its Largest-Ever Whistleblower Awards | SEC-PR |
| 2018-01-01 | | Comp Pr2018 273 | SEC-PR |
| 2017-12-12 | | United States v. Akayed Ullah, 17-cr-00789 (S.D.N.Y. Dec. 12, 2017), Federal terrorism charges announced against Akayed Ullah in connection with bombing at the Port Authority Bus Terminal. | DOJ-SDNY |
| 2017-12-05 | | In the Matter of the Claim for Award | SEC-PR |
| 2017-11-30 | | In the Matter of the Claims for Award | SEC-PR |
| 2017-11-03 | | SEC v. Christopher A. Faulkner, No. 23979 (S.D.N.Y. Nov. 3, 2017), Complaint, llm-upgrade | SEC-LR |
| 2017-08-22 | | SEC v. Brian Pappas et al., <Case Number> (<Court> <Date>), <one-sentence narrative summarizing the allegations or outcome> | SEC-LR |
| 2017-07-25 | | SEC Announces $2.5 Million Whistleblower Award | SEC-PR |
| 2017-05-02 | | In the Matter of the Claim for Award | SEC-PR |