Press Releasesбез даты Текст источника в новой вкладке
Official announcements highlighting recent actions taken by the SEC and other newsworthy information.

 
 
1. SEC Awards Almost $250,000 to Joint WhistleblowersЧт, 17 сен[−]
The Securities and Exchange Commission today announced an award of nearly $250,000 to joint whistleblowers whose tip caused the opening of an investigation that resulted in a successful enforcement action. The whistleblowers raised concerns internally…

2. SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent OfferingsЧт, 17 сен[−]
The Securities and Exchange Commission today filed an emergency action against Adam Rogas, the former CEO of Las-Vegas-based NS8 Inc., which purports to provide fraud detection and prevention software to e-commerce merchants, seeking an asset freeze…

3. SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter SecuritiesЧт, 17 сен[−]
The Securities and Exchange Commission today adopted amendments to Exchange Act Rule 15c2-11, an important component of the over-the-counter (OTC) market regulatory structure. The amendments are designed to modernize the rule, which was last…

4. Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed InvestorsВт, 15 сен[−]
The Securities and Exchange Commission today announced charges against Unikrn Inc., an operator of an online eSports gaming and gambling platform headquartered in Seattle, Washington, for conducting an unregistered initial coin offering (ICO)…

5. SEC Releases Report and Recommendations on the 39th Annual Small Business ForumВт, 15 сен[−]
The Securities and Exchange Commission today delivered a report to Congress on the 39th Annual Small Business Forum. The Forum is a unique event where members of the public and private sectors gather to craft suggestions for policy impacting emerging…

6. SEC Awards More Than $10 Million to WhistleblowerПн, 14 сен[−]
The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower whose information and assistance were of crucial importance to a successful SEC enforcement action. "This award recognizes the persistent efforts…

7. SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond OfferingПн, 14 сен[−]
The Securities and Exchange Commission today charged Park View School, Inc., a state-funded, nonprofit charter school operator based in Prescott Valley, Arizona, and its former President, Debra Kay Slagle, with misleading investors in an April 2016…

8. SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOsСб, 12 сен[−]
The Securities and Exchange Commission today announced charges against five Atlanta-based individuals, including film producer Ryan Felton, rapper and actor Clifford Harris, Jr., known as T.I. or Tip, and three others who each promoted one of Felton’s…

9. SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory CommitteeПт, 11 сен[−]
The Securities and Exchange Commission today released the agenda for the September 16, 2020, meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management and…

10. SEC Modernizes Disclosures for Banking RegistrantsПт, 11 сен[−]
The Securities and Exchange Commission today announced that it has adopted rules to update and expand the statistical disclosures that bank and savings and loan registrants provide to investors, in light of changes in this sector over the past 30 years.…

11. SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed InvestorsПт, 11 сен[−]
The Securities and Exchange Commission today announced that the court-appointed receiver has begun the final distribution to investors in connection with the SEC's action against defendants Paul Greenwood, Steven Walsh, and their affiliated WG Trading…

12. SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus BankruptcyЧт, 03 сен[−]
The Securities and Exchange Commission today charged Daniel Kamensky, co-chair of the unsecured creditors committee in the Neiman Marcus Group Ltd. LLC Chapter 11 bankruptcy proceedings, with abusing his position on the committee to attempt to benefit a…

13. SEC Investor Advisory Committee to Meet Virtually on September 24Вт, 01 сен[−]
The Securities and Exchange Commission's Investor Advisory Committee will hold a virtual public meeting on September 24, 2020. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on the Committee's…

14. SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful ActionsВт, 01 сен[−]
The Securities and Exchange Commission today announced an award of over $2.5 million to joint whistleblowers whose tip based largely on highly probative independent analysis of a public company’s filings led to several successful enforcement actions.…

15. SEC Updates List of Firms Using Inaccurate Information to Solicit InvestorsПн, 31 авг[−]
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 23 soliciting entities, eight impersonators of genuine firms,…

16. SEC Awards Over $1.25 Million to WhistleblowerПн, 31 авг[−]
The Securities and Exchange Commission today announced an award of over $1.25 million to a whistleblower whose significant information prompted the agency to initiate a cause examination and bring an enforcement action that resulted in the return of…

17. SEC Charges Ponzi Scheme Targeting African ImmigrantsПт, 28 авг[−]
The Securities and Exchange Commission today charged two Maryland companies and their principals for a scheme that allegedly defrauded approximately 1,200 investors, many of them African immigrants, of more than $27 million. According to the SEC’s…

18. SEC Charges Herbalife With FCPA ViolationsПт, 28 авг[−]
The Securities and Exchange Commission today announced that Herbalife Nutrition Ltd. has agreed to pay more than $67 million to settle charges that it violated the books and records and internal accounting controls provisions of the Foreign Corrupt…

19. Fee Rate Advisory #1 for Fiscal Year 2021Чт, 27 авг[−]
The Securities and Exchange Commission today announced that in fiscal year 2021 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $109.10 per million dollars. Background The securities…

20. SEC Charges BorgWarner for Materially Misstating its Financial StatementsСр, 26 авг[−]
The Securities and Exchange Commission today announced settled charges against BorgWarner Inc., a motor vehicle parts manufacturer headquartered in Auburn Hills, Michigan, for materially misstating its financial statements by failing to account for…

21. SEC Monitoring Impact of Hurricane Laura on Capital MarketsСр, 26 авг[−]
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Laura on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms,…

22. SEC Halts Fraudulent Offering by Florida Investment AdviserСр, 26 авг[−]
The Securities and Exchange Commission today announced that it has filed an emergency action against Florida-based investment adviser Coral Gables Asset Management LLC and its sole owner, David C. Coggins, in connection with an alleged fraudulent…

23. SEC Adopts Rule Amendments to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-KСр, 26 авг[−]
The Securities and Exchange Commission today announced that it voted to adopt amendments to modernize the description of business (Item 101), legal proceedings (Item 103), and risk factor disclosures (Item 105) that registrants are required to make…

24. SEC Modernizes the Accredited Investor DefinitionСр, 26 авг[−]
The Securities and Exchange Commission today adopted amendments to the “accredited investor” definition, one of the principal tests for determining who is eligible to participate in our private capital markets. Historically, individual investors…

25. SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting ViolationsВт, 25 авг[−]
The Securities and Exchange Commission today charged Super Micro Computer, Inc., a producer of computer servers, and its former CFO, Howard Hideshima, with prematurely recognizing revenue and understating expenses over a period of at least three years.…


 
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2020-09-17, Чт (3)
2020-09-15, Вт (2)
2020-09-14, Пн (2)
2020-09-12, Сб (1)
2020-09-11, Пт (3)
2020-09-03, Чт (1)
2020-09-01, Вт (2)
2020-08-31, Пн (2)
2020-08-28, Пт (2)
2020-08-27, Чт (1)
2020-08-26, Ср (5)
2020-08-25, Вт (1)
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