Latest from the SEC

Date Title Division/Office
SEC Charges Credit Suisse With FCPA Violations Enforcement
SEC Charges KBR for Inflating Key Performance Metric and Accounting Controls Deficiencies Enforcement
SEC Charges Attorney and Law Firm Business Manager With Illegal Sales of UBI Blockchain Internet Stock Enforcement
SEC Charges Morgan Stanley in Connection With Failure to Detect or Prevent Misappropriation of Client Funds Enforcement
SEC Charges New York-Based Firm and Supervisors for Failing to Supervise Brokers Who Defrauded Customers Enforcement
SEC Proposes Whistleblower Rule Amendments Whistleblower
Former Equifax Manager Charged With Insider Trading Enforcement
SEC Charges Credit Ratings Analyst and Two Friends With Insider Trading Enforcement
Wells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products Enforcement
SEC Shuts Down $102 Million Ponzi Scheme Enforcement
Merrill Lynch Admits to Misleading Customers about Trading Venues Enforcement
Remarks before the Institute of Management Accountant’s 2018 Annual Conference and Expo: “Advancing the Purpose and Promise of Those Involved in Financial Reporting” Office of the Chief Accountant
Daniel J. Wadley Named as Regional Director of Salt Lake Office Enforcement
Division to Release through EDGAR Serious Deficiencies Letters Corporation Finance
Information Update: Updates to Custody Rule Frequently Asked Questions Investment Management
Remarks to the Institute of Chartered Accountants in England and Wales: “The intersection of financial reporting and innovation" Office of the Chief Accountant
Staff Letter: Investment Company Institute Investment Management
Chyhe Becker Named Acting Chief Economist and Acting Director of the Division of Economic and Risk Analysis Economic and Risk Analysis
Jeffrey Harris, Chief Economist and Director of the SEC’s Division of Economic and Risk Analysis, to Leave the Agency Economic and Risk Analysis
Oversight of the SEC’s Division of Enforcement Enforcement

Last Reviewed or Updated: April 12, 2024