Latest from the SEC

Date Title Division/Office
Investors Exchange LLC Rule Filing - 34-101237 Trading and Markets
Investment Company Act Notice: FS Credit Opportunities Corp., et al. Investment Management
Commission Opinions and Adjudicatory Orders: John Marques Enforcement
Cboe BZX Exchange Rule Filing - 34-101233 Trading and Markets
Administrative Proceeding - Daniel Stephen Madasz Enforcement
Administrative Proceeding - CQC Impact Investors LLC Enforcement
Adminsitrative Proceeding: Thrivent Investment Management, Inc. Enforcement
SEC Announces Departure of Enforcement Director Gurbir S. Grewal Enforcement
Litigation Release - The Pre IPO Marketplace Inc; Keyport Venture Partners, LLC; Keyport Venture Management, LLC; Keyport Venture Advisors, LLC; Principal Pre-IPO Consulting Group LLC; GlobalX VC LLC; John Michael LoPinto; Robert Wilkos; and Laren Pisciot Enforcement
IEX Rule Filing - 34-101231 Trading and Markets
Commission Opinions and Adjudicatory Orders: Herzog International Holdings, Inc. Enforcement
Commission Opinions and Adjudicatory Orders: Donald S. LaGuardia, Jr. Enforcement
Litigation Release: Rari Capital, Inc.; Jai Bhavnani; Jack Lipstone; David Lucid Enforcement
Investment Company Act Order - Great Elm Capital Corp., et al. Investment Management
Commission Opinion and Adjudicatory Order - Brian Bartlett Amoah and Elbert "Al" Elliott Enforcement
Commission Opinion and Adjudicatory Order - Alexander Goldschmidt Enforcement
Commission Opinion and Adjudicatory Order - Michael Vax Enforcement
Cboe Exchange, Inc. Rule Filing - 34-101229 Trading and Markets
National Market System Rule Filing - 34-101225 Trading and Markets
Long-Term Stock Exchange Rule Filing - 34-101226 Trading and Markets

Last Reviewed or Updated: April 12, 2024