Category: Regulatory

We aggregate feeds from various enforcement agencies like SEC, CFTC, and more.

SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee

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… Original Source

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Raquel Fox, Director of the Office of International Affairs, to Depart SEC

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,… Original Source

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SEC Awards Over $10 Million to Whistleblower

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.… Original Source

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Bethany Liou and Golden California Regional Center, LLC

Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution Original Source

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Steven L. Henning, CPA

Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice Original Source

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Agencies propose regulation on the role of supervisory guidance

Agencies propose regulation on the role of supervisory guidance Original Source

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SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies

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… Original Source

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Cboe Global Markets Declares Fourth-Quarter 2020 Dividend

CHICAGO – October 28, 2020 – Cboe Global Markets, Inc. (Cboe: CBOE), a market operator and global trading solutions provider, today announced its Board of Directors has declared a quarterly cash dividend of $0.42 per share of common stock for…

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Alex Forester, Michael Hicks, Yarden Krampf, Christopher Lee, Sean O'Neal, Michael Raynor, and Lee Sobel

SEC Charges Seven Individuals with Unregistered Brokerage Activity Related to the Sale of Numerous Microcap Securities Original Source

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Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year

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…

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Mohammed Ali Rashid

(BizNews.Today) Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing Published on www.STL.News Read business news at STL.News Original Source

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Cory Adam Leshner

Order of Forthwith Suspension Pursuant to Commission Rule of Practice 102(e)(2) Original Source

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Joseph Taub, et al.

SEC Obtains Final Judgment Against Participant in Market Manipulation Scheme Original Source

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Agencies invite comment on proposed rule under Bank Secrecy Act

Agencies invite comment on proposed rule under Bank Secrecy Act Original Source

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