What's New

Date Title Division/Office
SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading Division of Enforcement
SEC Charges Halal Capital Founder with Multimillion Dollar Fraudulent Scheme That Targeted Muslim Community Division of Enforcement
SEC Adopts Rule Amendments to Modernize How Broker-Dealers Preserve Electronic Records and Enhance the Electronic Recordkeeping Requirements for Security-Based Swap Entities Division of Trading and Markets
Barclays Agrees to a $361 Million Settlement to Resolve SEC Charges Relating to Over-Issuances of Securities Division of Enforcement
SEC Charges Man for Defrauding Investors out of Millions of Dollars by Posing as Hedge Fund Billionaire Division of Enforcement
Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers Division of Enforcement
SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit's Analysis and Detection Center Division of Enforcement
Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It Provided Misleading Account Statements to Investors Division of Enforcement
SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures Division of Enforcement
COLLEGE PREP-101: PREPARING FOR YOUR FINANCIAL FUTURE Agency-Wide
SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter Public Affairs
SEC Charges Hemp Company and Co-Founders With Fraud Division of Enforcement
SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud Public Affairs
SEC Charges Penny Stock Company, CEO and Others with Multi-Million Dollar Fraud Public Affairs
SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies Division of Enforcement
SEC Charges Three Individuals with Insider Trading Public Affairs
SEC Charges U.S. Promoters of $2 Billion Global Crypto Lending Securities Offering Public Affairs
SEC's New York and San Francisco Regional Offices to Co-Host a Webcast Exploring the Experiences of Tech Entrepreneurs of Color When Capital Raising Public Affairs
SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud Public Affairs
Financial Readiness: Investing in Your Future Agency-Wide

Last Reviewed or Updated: June 28, 2024