Aug. 1, 2024
17d-2 - 34-100636 Notice of Filing and Order Approving and Declaring Effective …
Division of Trading and Markets
Aug. 1, 2024
FASB Issues Proposed Updates for Future* Version of U.S. GAAP Financial Reporting Taxonomy Related to Proposed ASU on Derivatives Scope Refinements and Scope Clarification for a Share-Based Payment from a Customer in a Revenue Contract
Structured Disclosure
July 31, 2024
SEC Charges Founder of Social Media Company “IRL” with $170 Million Fraud
Division of Enforcement
July 31, 2024
Investment Company Act: IC-35288 - Order Under Section 6(c) of the Investment C…
Investment Management
July 31, 2024
Joint Industry Plan; 34-100631 - Notice of Filing and Immediate Effectiveness o…
Division of Trading and Markets
July 31, 2024
MIAX Sapphire, LLC; 34-100630 - Notice of Filing and Immediate Effectiveness of…
Division of Trading and Markets
July 31, 2024
BOX Exchange, LLC.; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 E…
Division of Trading and Markets
July 31, 2024
Financial Industry Regulatory Authority; 34-100627 - Notice of Designation of L…
July 31, 2024
NYSE American LLC; 34-100626 - Notice of Filing and Immediate Effectiveness of …
July 31, 2024
New York Stock Exchange LLC; 34-100625 - Notice of Filing and Immediate Effecti…
Division of Trading and Markets
July 31, 2024
Commission Opinions and Adjudicatory Orders: Bernard M. Parker (Order to Show C…
Division of Enforcement
July 31, 2024
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; 3…
Division of Trading and Markets
July 31, 2024
Joint Industry Plan; 34-100622 - Notice of Filing and Immediate Effectiveness o…
Division of Trading and Markets
July 31, 2024
Litigation Release: Western International Securities, et al.
Division of Enforcement
July 31, 2024
ICE Clear Credit LLC; 34-100620 - Notice of Filing of Proposed Rule Change, as …
Division of Trading and Markets
July 31, 2024
Litigation Release: South Bay Acquisitions, LLC, et al.
Division of Enforcement
July 30, 2024
Admin Proceedings: Western International Securities, Inc.
Division of Enforcement
July 30, 2024
SEC Charges Nader Al-Naji with Fraud and Unregistered Offering of Crypto Asset Securities
Division of Enforcement
July 26, 2024
SEC Awards Whistleblower More Than $37 Million
Division of Enforcement
July 26, 2024
SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme
Division of Enforcement