What's New

Date Title Division/Office
MIAX PEARL Rule Filing - 34-100900 Trading and Markets
National Securities Clearing Corporation Rule Filing - 34-100897 Trading and Markets
NYSE Arca Rule Filing Trading and Markets
MIAX PEARL - 34-100895
Miami International Securities Exchange Rule Filing - 34-100894 Trading and Markets
MIAX Emerald Rule Filing - 34-100893 Investment Management
Administrative Proceeding - International Assets Investment Management, LLC Enforcement
Administrative Proceeding - Empire Global Gaming, Inc. Enforcement
Administrative Proceeding - Cordia Corp. Enforcement
SEC Charges Six Credit Rating Agencies with Significant Recordkeeping Failures Enforcement
Long-Term Stock Exchange Rule Filing - 34-100892 Trading and Markets
SEC Charges Advisory Firm ClearPath with Custody Rule and Liability Disclaimer Violations Enforcement
SEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community Enforcement
SEC Charges Crypto-Focused Advisory Firm Galois Capital for Custody Failures Enforcement
Commission Opinions and Adjudicatory Orders - American CryptoFED DAO LLC Enforcement
Commission Opinions and Adjudicatory Orders - Mark Kipling Durham Enforcement
Investment Company Act Notices and Orders - Jefferies Finance LLC, et al. Investment Management
Aministrative Proceeding: Exelon Corporation and Commonwealth Edison Company Enforcement
Aministrative Proceeding: Colony Capital Investment Advisors, LLC Enforcement
Aministrative Proceeding: Galois Capital Management LLC Enforcement

Last Reviewed or Updated: June 28, 2024