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SEC Approves Final and Proposed Rules in Latest Open Meeting
June 28, 2018The Securities and Exchange Commission today voted on several final rules and rule proposals that together represent material progress toward[...]
Read ArticleSEC Proposes Whistleblower Rule Amendments
June 28, 2018The Securities and Exchange Commission today voted to propose amendments to the rules governing its whistleblower program. The whistleblower program[...]
Read ArticleSEC Adopts Targeted Changes to Public Liquidity Risk Management Disclosure
June 28, 2018The Securities and Exchange Commission today adopted amendments to public liquidity-related disclosure requirements for certain open-end funds. Under the amendments,[...]
Read ArticleSEC Proposes New Approval Process for Certain Exchange-Traded Funds
June 28, 2018The Securities and Exchange Commission today voted to propose a new rule and form amendments intended to modernize the regulatory[...]
Read ArticleSEC Adopts Inline XBRL for Tagged Data
June 28, 2018The Securities and Exchange Commission today voted to adopt amendments to eXtensible Business Reporting Language (XBRL) requirements for operating companies[...]
Read ArticleSEC Expands the Scope of Smaller Public Companies that Qualify for Scaled Disclosures
June 28, 2018The Securities and Exchange Commission today voted to adopt amendments to the “smaller reporting company” (SRC) definition to expand the[...]
Read ArticleFormer Equifax Manager Charged With Insider Trading
June 28, 2018The Securities and Exchange Commission today charged a former Equifax manager with insider trading in advance of the company’s September[...]
Read ArticleSEC and CFTC Announce Approval of New MOU
June 28, 2018The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) announced today that the two agencies have approved[...]
Read ArticleSEC Charges Credit Ratings Analyst and Two Friends with Insider Trading
June 26, 2018The Securities and Exchange Commission today charged a credit ratings agency employee with tipping two friends about The Sherwin-Williams Co.’s[...]
Read ArticleWells Fargo Advisors Settles SEC Charges for Improper Sales of Complex Financial Products
June 25, 2018The Securities and Exchange Commission today announced that Wells Fargo Advisors LLC agreed to settle charges of misconduct in the[...]
Read ArticlePaul G. Cellupica Named Deputy Director—Chief Counsel of the Division of Investment Management
June 21, 2018The Securities and Exchange Commission announced today that Paul G. Cellupica has been named Chief Counsel of the Division of[...]
Read ArticleSEC Shuts Down $102 Million Ponzi Scheme
June 19, 2018The Securities and Exchange Commission today filed charges and obtained an asset freeze against the individuals and companies behind a[...]
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