![]() Headline: Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact Capital Raising Policy Headline: SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information Headline: SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency Headline: SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service ![]() Werner Named Director of Fort Worth Regional Office Headline: SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management ![]() Headline: SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting Headline: SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud Headline: SEC Adopts Amendments to Modernize Share Repurchase Disclosure Headline: SEC Adopts Amendments to Enhance Private Fund Reporting Headline: SEC Announces New Members of Small Business Capital Formation Advisory Committee Headline: SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs ![]() Headline: SEC Issues Largest-Ever Whistleblower Award Headline: SEC Charges Investment Adviser and Fund Trustees with Liquidity Rule Violations Headline: SEC Charges HSBC and Scotia Capital with Widespread Recordkeeping Failures Headline: Dutch Medical Supplier Philips to Pay More Than $62 Million to Settle FCPA Charges ![]()
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