Whistleblower Alert! The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who provided information and assistance in three separate covered actions.
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SEC Alert! SEC Announces Enforcement Results for FY 2021
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The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or "stand-alone" actions involved at least one individual defendant or respondent. The new actions spanned
The SEC instituted proceedings against American CryptoFed DAO LLC, a Wyoming-based organization, halting the effectiveness of the companyโs registration of two digital tokens as securities.
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Press Release Ahmed Abonamah Named Director of Office of Credit Ratings. The Securities and Exchange Commission today announced that Ahmed Abonamah has been named Director of the agencyโs Office of Credit Ratings.
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SEC Filing | Gamestop Corp FORM 8-K
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Whistleblower Alert! The Securities and Exchange Commission today announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the success of an SEC enforcement action.
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Self-Regulatory Organizations Rule Alert! DTC and NSCC Orders Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
SR-DTC-2021-011
SR-NSCC-2021-007
Pursuant to the Proposed Rule Change, DTC is proposing three main changes to its Rules, Bylaws, and Organization Certificate(โRulesโ):6 (1) standardizing the confidentiality requirement applicable to DTC with respect to its participantsโ information and adding confidentiality requirement applicable to participants with respect to DTCโs information,