Category: SEC Press Releases

The Securities and Exchange Commission today released the agenda for the Nov. 5, 2020, special meeting of the Asset Management Advisory Committee (AMAC).  AMAC was formed to provide the Commission with diverse perspectives on asset management…

Source: SEC Press Releases, SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee

The Securities and Exchange Commission today announced that Raquel Fox, Director of the Office of International Affairs, will leave the agency in November.

The Office of International Affairs (OIA) advises the Commission on cross-border regulatory,…

Source: SEC Press Releases, Raquel Fox, Director of the Office of International Affairs, to Depart SEC

The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation.…

Source: SEC Press Releases, SEC Awards Over Million to Whistleblower

The Securities and Exchange Commission today voted to enhance the regulatory framework for derivatives use by registered investment companies, including mutual funds (other than money market funds), exchange-traded funds (ETFs) and closed-end funds, as…

Source: SEC Press Releases, SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies

The Securities and Exchange Commission today announced that William H. Hinman, Director of the SEC’s Division of Corporation Finance, plans to leave the SEC later this year.

Since joining the SEC in May 2017, Mr. Hinman led the Division’s work on a wide…

Source: SEC Press Releases, Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year

The Securities and Exchange Commission today charged Israeli company Tradenet Capital Markets Ltd. for offering and selling security-based swaps to over 5,000 retail investors without registration and for failing to transact its swaps on a registered…

Source: SEC Press Releases, SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions

The Securities and Exchange Commission today announced an award of over $114 million to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. 

The $114 million award consists of an…

Source: SEC Press Releases, SEC Issues Record 4 Million Whistleblower Award

The Securities and Exchange Commission today announced charges against The Goldman Sachs Group Inc. for violations of the Foreign Corrupt Practices Act (FCPA) in connection with the 1Malaysia Development Berhad (1MDB) bribe scheme, and as part of…

Source: SEC Press Releases, SEC Charges Goldman Sachs With FCPA Violations

The Securities and Exchange Commission and the Commodity Futures Trading Commission, at their first joint open meeting to vote on rulemaking initiatives, today approved: (1) a joint final rule to harmonize the minimum margin level for security futures…

Source: SEC Press Releases, At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining

The Securities and Exchange Commission today announced it will host a virtual forum next week featuring women entrepreneurs and investors of color from Los Angeles and Atlanta discussing their business experiences and…

Source: SEC Press Releases, SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28