What's New

Date Title Division/Office
17d-2 - 34-100636 Notice of Filing and Order Approving and Declaring Effective … Division of Trading and Markets
SEC Charges Founder of Social Media Company “IRL” with $170 Million Fraud Division of Enforcement
Investment Company Act: IC-35288 - Order Under Section 6(c) of the Investment C… Investment Management
Joint Industry Plan; 34-100631 - Notice of Filing and Immediate Effectiveness o… Division of Trading and Markets
MIAX Sapphire, LLC; 34-100630 - Notice of Filing and Immediate Effectiveness of… Division of Trading and Markets
BOX Exchange, LLC.; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 E… Division of Trading and Markets
Financial Industry Regulatory Authority; 34-100627 - Notice of Designation of L…
NYSE American LLC; 34-100626 - Notice of Filing and Immediate Effectiveness of …
New York Stock Exchange LLC; 34-100625 - Notice of Filing and Immediate Effecti… Division of Trading and Markets
Commission Opinions and Adjudicatory Orders: Bernard M. Parker (Order to Show C… Division of Enforcement
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; 3… Division of Trading and Markets
Joint Industry Plan; 34-100622 - Notice of Filing and Immediate Effectiveness o… Division of Trading and Markets
Litigation Release: Western International Securities, et al. Division of Enforcement
ICE Clear Credit LLC; 34-100620 - Notice of Filing of Proposed Rule Change, as … Division of Trading and Markets
Litigation Release: South Bay Acquisitions, LLC, et al. Division of Enforcement
Admin Proceedings: Western International Securities, Inc. Division of Enforcement
SEC Charges Nader Al-Naji with Fraud and Unregistered Offering of Crypto Asset Securities Division of Enforcement
SEC Awards Whistleblower More Than $37 Million Division of Enforcement
SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme Division of Enforcement
SEC Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud Division of Enforcement

Last Reviewed or Updated: June 28, 2024