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The SEC adopted revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR")

The SEC adopted technical corrections to a final rule on business conduct standards for security-based swap dealers and major security-based swap participants.

SEC Division of Investment Management Director David W. Grim notified SIFMA Executive Vice President and General Counsel Ira D. Hammerman that Investment Advisers Act Rule 206(3)-3T.

On May 10, 2017, the SEC Advisory Committee on Small and Emerging Companies (the "Committee") will meet to discuss several regulatory issues relating to the capital-raising activities of small issuers.

The SEC announced the agenda for its October 5, 2016 meeting of its Advisory Committee on Small and Emerging Companies.

The SEC Division of Trading and Markets granted no-action relief to an introducing broker from the requirement to transmit a customer's check to the clearing broker-dealer by noon of the next business day after receipt.

In an Investor Bulletin, the SEC underscored the importance of exercising caution before buying ...

Starting in early February 2022, Lori H. Price will begin serving as the Acting Director of the Office of Credit Ratings ("OCR"), replacing Ahmed A. Abonamah.

William A. Birdthistle, a professor at the Chicago-Kent College of Law, was appointed to lead the SEC Division of Investment Management.

The SEC approved amendments to FINRA's customer and industry arbitration rules concerning arbitration honorariums.

The SEC approved a minor rule violation plan ("MRVP") for ISE Mercury, LLC (the "Exchange") that grants discretion to the Exchange to impose a maximum fine of up to $2,500 for rule violations...

The SEC awarded $2.5 million to two whistleblowers for providing information that led to several successful enforcement actions.

The SEC awarded more than $2.1 million to a whistleblower who provided information that resulted in "multiple successful enforcement actions."

The SEC awarded more than $54 million to two whistleblowers for providing critical information that resulted in an enforcement action.

The SEC awarded more than $1 million to a whistleblower for reporting "new information and substantial corroborating documentation" regarding a securities violation that impacted retail investors.

The SEC will reward more than $450,000 to two individuals for tips that led the SEC to open a corporate accounting investigation.

The SEC charged Thomas M. Henderson and his company with misusing funds raised from investors through the EB-5 immigrant investor program.

The SEC charged three Chinese traders with fraud for allegedly hacking "nonpublic market-moving information" from two prominent New York-based law firms.