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Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
Site URL: www.sec.gov/
Feed URL: www.sec.gov/rss/news/press.xml
Posts: 11
Followers: 1
SEC Charges Four Companies With Misleading Cyber Disclosures
https://www.sec.gov/newsroom/press-releases/2024-174
Published: October 22, 2024 12:01
The Securities and Exchange Commission today charged four current and former public companies – Unisys Corp., Avaya Holdings Corp., Check Point Software Technologies Ltd, and Mimecast Limited – with making materially misleading disclosures regarding…
SEC Charges Advisory Firm WisdomTree with Failing to Adhere to Its Own Investment Criteria For ESG-Marketed Funds
https://www.sec.gov/newsroom/press-releases/2024-173
Published: October 21, 2024 18:28
The Securities and Exchange Commission today charged New York-based investment adviser WisdomTree Asset Management Inc. with making misstatements and for compliance failures relating to the execution of an investment strategy that was marketed as…
SEC Division of Examinations Announces 2025 Priorities
https://www.sec.gov/newsroom/press-releases/2024-172
Published: October 21, 2024 13:05
The Securities and Exchange Commission’s Division of Examinations today released its 2025 examination priorities. The Division publishes its examination priorities annually to inform investors and registrants of potential risks in the U.S. capital…
SEC Charges Virginia-Based RTX Corp. with Violating Foreign Corrupt Practices Act in Connection with Efforts to Obtain Contracts with the Qatari Military
https://www.sec.gov/newsroom/press-releases/2024-171
Published: October 16, 2024 15:25
The Securities and Exchange Commission today announced that RTX Corporation, a Virginia-based aerospace and defense company, agreed to pay more than $124 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) in connection…
SEC Charges U.S.-Based Moog Inc. with FCPA Violations for Subsidiary’s Role in Indian Bribery Scheme
https://www.sec.gov/newsroom/press-releases/2024-170
Published: October 11, 2024 09:29
The Securities and Exchange Commission today announced that Moog Inc., a New York-based global manufacturer of motion controls systems for aerospace, defense, industrial and medical markets, agreed to pay a civil penalty of $1.1 million to resolve the…
SEC Charges Cumberland DRW for Operating as an Unregistered Dealer in the Crypto Asset Markets
https://www.sec.gov/newsroom/press-releases/2024-169
Published: October 10, 2024 16:50
The Securities and Exchange Commission today charged Chicago-based Cumberland DRW LLC with operating as an unregistered dealer in more than $2 billion of crypto assets offered and sold as securities, in violation of the registration requirements of the…
SEC Issues $12 Million Award to Joint Whistleblowers
https://www.sec.gov/newsroom/press-releases/2024-168
Published: October 10, 2024 16:30
The Securities and Exchange Commission today announced a $12 million award to be split among three joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers provided the SEC significant…
SEC Charges Rimar Capital Entities and Owner Itai Liptz for Defrauding Investors by Making False and Misleading Statements About Use of Artificial Intelligence
https://www.sec.gov/newsroom/press-releases/2024-167
Published: October 10, 2024 13:32
The Securities and Exchange Commission today announced charges against Rimar Capital USA, Inc. (Rimar USA), Rimar Capital, LLC (Rimar LLC), Itai Liptz, and Clifford Boro for making false and misleading statements about Rimar LLC’s purported use of…
SEC Charges Three So-Called Market Makers and Nine Individuals in Crackdown on Manipulation of Crypto Assets Offered and Sold as Securities
https://www.sec.gov/newsroom/press-releases/2024-166
Published: October 9, 2024 18:24
The Securities and Exchange Commission today announced fraud charges against three companies purporting to be market makers and nine individuals for engaging in schemes to manipulate the markets for various crypto assets being offered and sold as…
SEC Charges “Magic Mushroom” Company and Two Individuals with Multimillion Dollar Pump-and-Dump Scheme
https://www.sec.gov/newsroom/press-releases/2024-165
Published: October 9, 2024 17:21
The Securities and Exchange Commission today charged Minerco Inc. (former over-the-counter ticker: MINE), Bobby Shumake Japhia, and Julius Makiri Jenge, for their roles in an alleged pump-and-dump scheme that defrauded investors out of approximately $8…
SEC Monitoring Impact of Hurricane Milton on Capital Markets
https://www.sec.gov/newsroom/press-releases/2024-164
Published: October 9, 2024 13:43
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Milton on investors and capital markets. The SEC also continues to monitor the prior impact of Hurricane Helene. The SEC divisions and offices that oversee companies,…