SEC Bars Longtime Broker Sentenced to 170 Months in Prison
February 19, 2021
Biden Names Acting Chair of the SEC
January 25, 2021
Biden to Name MIT Professor and Former CFTC Chairman to Head SEC
January 13, 2021
Voya to Pay $23 Million to Settle SEC Charges
December 28, 2020
SEC Adopts Modernized Marketing Rule for RIAs
December 23, 2020
SEC Updates Fund Valuation Practices
December 4, 2020
SEC Charges Fugitive Atlanta Adviser with Fraudulent Securities Offering
November 17, 2020
SEC Charges RIAs and Broker-Dealers over Improper ETP Sales
November 16, 2020
SEC Adopts Rule for Derivatives Use by Registered Funds and BDCs
October 29, 2020