Headline: SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers
Headline: SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesses
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Headline: SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs Headline: SEC Proposes Improvements to EDGAR Filer Access and Account Management Headline: SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking Headline: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors Headline: SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction Headline: SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility with Violating Whistleblower Protection Rule Headline: SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting Headline: SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official Headline: SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community Headline: SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names Headline: SEC Approves Revised Privacy Act Rule Headline: SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Headline: Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data Headline: SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations Headline: SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
Headline: Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments Headline: SEC Charges GTT Communications for Disclosure Failures Headline: SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme Headline: SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds Headline: New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising Headline: SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts Hyzon Motors and Two Former Executives for Misleading Investors Headline: SEC Charges Hydrogen Vehicle Co. Headline: SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings Headline: SEC Appoints George Botic to the Public Company Accounting Oversight Board Headline: SEC Charges Three Southern California Siblings with Insider Trading Headline: SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading Headline: SEC Charges Former Pareteum Executives with Accounting and Disclosure Fraud Headline: SEC Charges Clear Channel Outdoor with FCPA Violations Relating to China Subsidiary Headline: SEC Charges Exelon, its Subsidiary Commonwealth Edison, and Subsidiary’s Former CEO Anne Pramaggiore with Fraud in Connection with Political Corruption Scheme
for Misleading Revenue Projections Ahead of SPAC Merger Headline: SEC Charges Electric Vehicle Co. to Pay SEC More Than $103 Million to Settle FCPA Violations Headline: SEC Charges Newell Brands and Former CEO for Misleading Investors About Sales Performance Headline: SEC Charges Two Credit Rating Agencies, DBRS and KBRA, with Longstanding Recordkeeping Failures Headline: SEC Charges 10 Firms with Widespread Recordkeeping Failures Shaw with Violating Whistleblower Protection Rule Headline: SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
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Headline: SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities Headline: SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program Headline: SEC Spotlights Due Diligence During World Investor Week 2023 Headline: SEC Names Stephanie Allen as Director of Media Relations and Speechwriting
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