![]() Headline: Joint Readout of Principals’ Meeting of U.S. Headline: SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks Headline: SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised Headline: SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures Headline: SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme Headline: SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities Headline: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Headline: SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud Headline: SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations Headline: SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors Headline: SEC Announces Enforcement Results for Fiscal Year 2023 Headline: Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations Headline: SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest Headline: SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency ![]() Headline: SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S. Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process Headline: SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations Zoladz as Regional Director of Los Angeles Office Headline: SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud Headline: SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting Headline: SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research Headline: SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme Gregus, Director of the Chicago Regional Office, to Depart the SEC Headline: SEC Adopts Rules to Improve Risk Management in Clearance and Settlement and Facilitate Additional Central Clearing for the U.S. Headline: SEC Approves 2024 PCAOB Budget and Accounting Support Fee ![]() Headline: Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services Headline: SEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme Headline: SEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme Headline: SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising from Startups to Small Public Companies Headline: SEC Issues Staff Report on Accredited Investor Definition Headline: SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief Headline: SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud Headline: SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud Headline: SEC Awards More Than $28 Million to Seven Whistleblowers Headline: BarnBridge DAO Agrees to Stop Unregistered Offer and Sale of Structured Finance Crypto Product Metry Named Chief Administrative Law Judge at SEC
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