Category: Regulatory
We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.
David N. Osegueda, et al.
Court Enters Judgments Against Promoters in Pump-And-Dump Scheme Original Source
Apotheca Biosciences, Inc.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
BioHemp International, Inc.
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
SEC Approves Registration of First Security-Based Swap Data Repository; Sets the First Compliance Date for Regulation SBSR
The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). With today’s registration of DTCC Data Repository (U.S.), LLC (DDR), the security-based swap market now… Original Source
Reliance Financial Advisors, LLC, Timothy S. Dembski and Walter F. Grenda, Jr.
Order Appointing Tax Administrator Original Source
Corbyn W. Jones, Esq.
Order Instituting Administrative Proceedings Pursuant to Rule Corbyn W. Jones, Esq., Practice, Making Findings, and Imposing Remedial Sanctions Original Source
Federal Reserve Board invites public comment on proposed changes to Regulation II regarding network availability for card-not-present debit card transactions and publishes a biennial report containing summary information on debit card transactions in 2019
Federal Reserve Board invites public comment on proposed changes to Regulation II regarding network availability for card-not-present debit card transactions and publishes a biennial report containing summary information on debit card transactions in 2019 Original Source
Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc.
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 Original Source
Register for the SEC's 40th Annual Small Business Forum, Featuring Inclusive Conversations on Capital Formation from Startup to Small Cap
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 40th Annual Government-Business Forum on Small Business Capital Formation virtually from May 24-27, 2021. Each of the four… Original Source
Seth P. Levine, Esq.
Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions Original Source
Federal Reserve Board invites public comment on proposed guidelines to evaluate requests for accounts and payment services at Federal Reserve Banks
Federal Reserve Board invites public comment on proposed guidelines to evaluate requests for accounts and payment services at Federal Reserve Banks Original Source
Hai Khoa Dang
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing Original Source
Maxwell Drever
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Original Source
Bradley J. Tennison
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions Original Source
SEC Charges Under Armour Inc. With Disclosure Failures
The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning its future revenue prospects.… Original Source
Under Armour, Inc.
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order Original Source
Jessica Wachter Named SEC Chief Economist and Director of the Division of Economic and Risk Analysis
The Securities and Exchange Commission today announced that Jessica Wachter has been appointed Chief Economist and Director of the Division of Economic and Risk Analysis (DERA). Wachter joins the SEC from the Wharton School, University of Pennsylvania,… Original Source
Richard Randall
SEC Charges Texan with Defrauding Investors in a Purported Wireless Energy Project Original Source
