For Any Doubters if Steve had been doing anything
Post# of 40989
(Total Views: 423)
Posted On: 05/28/2018 8:25:13 AM
For Any Doubters if Steve had been doing anything wrong he would be on ths list already....He's Not.
May 2018
May 23, 2018
SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds
2018-92
May 23, 2018
Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors
2018-91
May 16, 2018
SEC Charges Three Former Healthcare Executives With Fraud
2018-90
May 16, 2018
SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
2018-89
May 16, 2018
The SEC Has an Opportunity You Won’t Want to Miss: Act Now!
2018-88
May 16, 2018
SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations
2018-87
May 15, 2018
SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations
2018-86
May 15, 2018
SEC Files Charges in International Manipulation Scheme
2018-85
May 15, 2018
SEC Names Caryn E. Kauffman as Chief Financial Officer
2018-84
May 9, 2018
SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
2018-83
May 9, 2018
SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District
2018-82
May 8, 2018
Hedge Fund Firm Charged for Asset Mismarking and Insider Trading
2018-81
May 7, 2018
SEC Names Jessica Kane Director of Office of Credit Ratings
2018-80
May 4, 2018
Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service
2018-79
May 2, 2018
SEC Launches Additional Investor Protection Search Tool
2018-78
May 1, 2018
SEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze
2018-77
May 1, 2018
SEC Names Raquel Fox Director of the Office of International Affairs
2018-76
May 1, 2018
SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative
2018-75
April 2018
April 30, 2018
Office of International Affairs Director Paul A. Leder to Leave SEC
2018-74
April 30, 2018
Panasonic Charged With FCPA and Accounting Fraud Violations
2018-73
April 25, 2018
Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
2018-72
April 24, 2018
Altaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees To Pay $35 Million
2018-71
April 20, 2018
SEC Charges Additional Defendant in Fraudulent ICO Scheme
2018-70
April 20, 2018
Douglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
2018-69
April 18, 2018
SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
2018-68
April 17, 2018
Fee Rate Advisory #3 for Fiscal Year 2018
2018-67
April 16, 2018
SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
2018-66
April 13, 2018
SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
2018-65
April 12, 2018
SEC Awards Whistleblower More Than $2.1 Million
2018-64
April 9, 2018
SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors
2018-63
April 6, 2018
SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients
2018-62
April 6, 2018
SEC Obtains Emergency Freeze of $27 Million in Stock Sales of Purported Cryptocurrency Company Longfin
2018-61
April 5, 2018
SEC Issues Agenda for April 9 Meeting of the Fixed Income Market Structure Advisory Committee
2018-60
April 5, 2018
SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud
2018-59
April 5, 2018
SEC Awards More Than $2.2 Million to Whistleblower Who First Reported Information to Another Federal Agency Before SEC
2018-58
April 5, 2018
Joel R. Levin Named Director of Chicago Regional Office
2018-57
April 4, 2018
SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity
2018-56
April 4, 2018
SEC Warns of Government Impersonators
2018-55
April 3, 2018
SEC Promotes Investor Awareness During National Financial Capability Month
2018-54
April 2, 2018
SEC Halts Fraudulent Scheme Involving Unregistered ICO
2018-53
April 2, 2018
SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds
2018-52
March 2018
March 30, 2018
SEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors
2018-51
March 28, 2018
Broker-Dealer Admits It Failed to File SARs
2018-50
March 27, 2018
SEC Charges Recidivist Broker-Dealer in Employee’s Long-Running Pump-and-Dump Fraud
2018-49
March 27, 2018
SEC Charges Energy Storage Company, Former Executive in Fraudulent Scheme to Inflate Financial Results
2018-48
March 26, 2018
Kinross Gold Charged With FCPA Violations
2018-47
March 23, 2018
SEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze
2018-46
March 19, 2018
Broker Charged With Repeatedly Putting Customer Assets At Risk
2018-45
March 19, 2018
SEC Announces Its Largest-Ever Whistleblower Awards
2018-44
March 14, 2018
SEC Proposes Transaction Fee Pilot for NMS Stocks
2018-43
March 14, 2018
SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
2018-42
March 14, 2018
Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud
2018-41
March 14, 2018
Former Equifax Executive Charged With Insider Trading
2018-40
March 13, 2018
Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
2018-39
March 9, 2018
SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks
2018-38
March 9, 2018
SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors
2018-37
March 8, 2018
Investment Adviser Settles Charges for Cheating Clients in Fraudulent Cherry-Picking Scheme
2018-36
March 8, 2018
Voya Advisers Agree to Repay Clients and Settle Charges That They Failed to Disclose Securities Lending Conflict
2018-35
March 8, 2018
SEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme
2018-34
March 8, 2018
SEC Charges Company and Executives in Oil-and-Gas Offering Fraud
2018-33
March 8, 2018
Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities
2018-32
March 6, 2018
NYSE to Pay $14 Million Penalty for Multiple Violations
2018-31
March 5, 2018
SEC Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities
2018-30
March 2, 2018
SEC Celebrates African American History Month
2018-29
March 2, 2018
SEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative Trading in U.S. Microcap Stocks
2018-28
February 2018
Feb. 28, 2018
SEC Files Charges Seeking to Halt Recidivist and Associates in Scheme to Defraud Small Businesses
2018-27
Feb. 28, 2018
SEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares
2018-26
Feb. 27, 2018
SEC Announces Agenda for March 8 Investor Advisory Committee Meeting
2018-25
Feb. 21, 2018
SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification
2018-24
Feb. 21, 2018
SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud
2018-23
Feb. 21, 2018
SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
2018-22
Feb. 16, 2018
SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme
2018-21
Feb. 16, 2018
SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
2018-20
Feb. 15, 2018
Kyle Moffatt Named Chief Accountant in Division of Corporation Finance
2018-19
Feb. 15, 2018
Karen Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service
2018-18
Feb. 13, 2018
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
2018-17
Feb. 13, 2018
Alberto Arevalo, Associate Director in the Office of International Affairs, to Retire From SEC
2018-16
Feb. 12, 2018
SEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors
2018-15
Feb. 12, 2018
Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
2018-14
Feb. 12, 2018
Deutsche Bank to Repay Misled Customers
2018-13
Feb. 7, 2018
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
2018-12
Feb. 2, 2018
SEC Halts Ongoing Fraud by Purported Hedge Fund Manager
2018-11
Feb. 2, 2018
Alleged Perpetrator of Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties
2018-10
January 2018
Jan. 30, 2018
Michael Maloney, Enforcement’s Chief Accountant, to Leave SEC
2018-9
Jan. 30, 2018
SEC Halts Alleged Initial Coin Offering Scam
2018-8
Jan. 25, 2018
SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices
2018-7
Jan. 22, 2018
Six Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG
2018-6
Jan. 11, 2018
Robert Jackson and Hester Peirce Sworn In as SEC Commissioners
2018-5
Jan. 11, 2018
Dr. Timothy Timura Named Deputy Chief Economist
2018-4
Jan. 11, 2018
SEC and NYU to Host Jan. 19 Forum on Relationship Between Companies and Shareholders
2018-3
Jan. 10, 2018
SEC Names Richard Best As Regional Director of Atlanta Office
2018-2
Jan. 8, 2018
SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee
2018-1
December 2017
Dec. 29, 2017
Annual Staff Reports on Credit Rating Agencies Show Improvements
2017-238
Dec. 22, 2017
Commission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
2017-237
Dec. 21, 2017
Gerald Hodgkins, Associate Director of the SEC's Enforcement Division, to Leave the Agency After 20 Years of Service
2017-236
Dec. 21, 2017
SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
2017-235
Dec. 19, 2017
Broker Charged With Giving Special Access to IPOs for Cash Kickbacks
2017-234
Dec. 18, 2017
Marc P. Berger Named Director of New York Regional Office
2017-233
Dec. 14, 2017
SEC Names Kenneth A. Johnson as Chief Operating Officer
2017-232
Dec. 13, 2017
Division of Trading and Markets Deputy Director Gary Barnett to Retire
2017-231
May 2018
May 23, 2018
SEC Proposes FAIR Act Rules to Promote Research Reports on Investment Funds
2018-92
May 23, 2018
Investing in America: SEC Commissioners are Heading to Atlanta to Interact with Investors
2018-91
May 16, 2018
SEC Charges Three Former Healthcare Executives With Fraud
2018-90
May 16, 2018
SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
2018-89
May 16, 2018
The SEC Has an Opportunity You Won’t Want to Miss: Act Now!
2018-88
May 16, 2018
SEC Charges Brokerage Firms and AML Officer With Anti-Money Laundering Violations
2018-87
May 15, 2018
SEC Names James Reese Chief Risk and Strategy Officer of the Office of Compliance Inspections and Examinations
2018-86
May 15, 2018
SEC Files Charges in International Manipulation Scheme
2018-85
May 15, 2018
SEC Names Caryn E. Kauffman as Chief Financial Officer
2018-84
May 9, 2018
SEC Charges Hedge Fund Adviser With Deceiving Investors by Inflating Fund Performance
2018-83
May 9, 2018
SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District
2018-82
May 8, 2018
Hedge Fund Firm Charged for Asset Mismarking and Insider Trading
2018-81
May 7, 2018
SEC Names Jessica Kane Director of Office of Credit Ratings
2018-80
May 4, 2018
Diane Blizzard, Associate Director of Rulemaking for the SEC’s Division of Investment Management, to Leave the Agency After 18 Years of Service
2018-79
May 2, 2018
SEC Launches Additional Investor Protection Search Tool
2018-78
May 1, 2018
SEC Shuts Down $85 Million Ponzi Scheme and Obtains Asset Freeze
2018-77
May 1, 2018
SEC Names Raquel Fox Director of the Office of International Affairs
2018-76
May 1, 2018
SEC Enforcement Division Issues FAQs for Share Class Selection Disclosure Initiative
2018-75
April 2018
April 30, 2018
Office of International Affairs Director Paul A. Leder to Leave SEC
2018-74
April 30, 2018
Panasonic Charged With FCPA and Accounting Fraud Violations
2018-73
April 25, 2018
Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
2018-72
April 24, 2018
Altaba, Formerly Known as Yahoo!, Charged With Failing to Disclose Massive Cybersecurity Breach; Agrees To Pay $35 Million
2018-71
April 20, 2018
SEC Charges Additional Defendant in Fraudulent ICO Scheme
2018-70
April 20, 2018
Douglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
2018-69
April 18, 2018
SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
2018-68
April 17, 2018
Fee Rate Advisory #3 for Fiscal Year 2018
2018-67
April 16, 2018
SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
2018-66
April 13, 2018
SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
2018-65
April 12, 2018
SEC Awards Whistleblower More Than $2.1 Million
2018-64
April 9, 2018
SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors
2018-63
April 6, 2018
SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients
2018-62
April 6, 2018
SEC Obtains Emergency Freeze of $27 Million in Stock Sales of Purported Cryptocurrency Company Longfin
2018-61
April 5, 2018
SEC Issues Agenda for April 9 Meeting of the Fixed Income Market Structure Advisory Committee
2018-60
April 5, 2018
SEC Charges Medical Device Company The Eye Machine and Founder Pocklington With Fraud
2018-59
April 5, 2018
SEC Awards More Than $2.2 Million to Whistleblower Who First Reported Information to Another Federal Agency Before SEC
2018-58
April 5, 2018
Joel R. Levin Named Director of Chicago Regional Office
2018-57
April 4, 2018
SEC Names Peter Henry as Director of the Office of Equal Employment Opportunity
2018-56
April 4, 2018
SEC Warns of Government Impersonators
2018-55
April 3, 2018
SEC Promotes Investor Awareness During National Financial Capability Month
2018-54
April 2, 2018
SEC Halts Fraudulent Scheme Involving Unregistered ICO
2018-53
April 2, 2018
SEC Charges Fintech Company Founder With Scheme to Defraud Investors and Misappropriate Funds
2018-52
March 2018
March 30, 2018
SEC Charges Prominent Pastor, Financial Planner in Scheme to Defraud Elderly Investors
2018-51
March 28, 2018
Broker-Dealer Admits It Failed to File SARs
2018-50
March 27, 2018
SEC Charges Recidivist Broker-Dealer in Employee’s Long-Running Pump-and-Dump Fraud
2018-49
March 27, 2018
SEC Charges Energy Storage Company, Former Executive in Fraudulent Scheme to Inflate Financial Results
2018-48
March 26, 2018
Kinross Gold Charged With FCPA Violations
2018-47
March 23, 2018
SEC Stops Ponzi-Schemer Targeting Retail Investors and Obtains Preliminary Injunction and Asset Freeze
2018-46
March 19, 2018
Broker Charged With Repeatedly Putting Customer Assets At Risk
2018-45
March 19, 2018
SEC Announces Its Largest-Ever Whistleblower Awards
2018-44
March 14, 2018
SEC Proposes Transaction Fee Pilot for NMS Stocks
2018-43
March 14, 2018
SEC Proposes Targeted Changes to Public Liquidity Risk Management Disclosure
2018-42
March 14, 2018
Theranos, CEO Holmes, and Former President Balwani Charged With Massive Fraud
2018-41
March 14, 2018
Former Equifax Executive Charged With Insider Trading
2018-40
March 13, 2018
Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
2018-39
March 9, 2018
SEC Charges Penny Stock “Mailman” With Scalping Investors In Gold Mining Stocks
2018-38
March 9, 2018
SEC Foils Penny Stock Executive’s Plan to Pump Stock and Exploit Investors
2018-37
March 8, 2018
Investment Adviser Settles Charges for Cheating Clients in Fraudulent Cherry-Picking Scheme
2018-36
March 8, 2018
Voya Advisers Agree to Repay Clients and Settle Charges That They Failed to Disclose Securities Lending Conflict
2018-35
March 8, 2018
SEC Obtains Partial Asset Freeze of Proceeds in Alleged Fraudulent Touting Scheme
2018-34
March 8, 2018
SEC Charges Company and Executives in Oil-and-Gas Offering Fraud
2018-33
March 8, 2018
Merrill Lynch Charged With Gatekeeping Failures in the Unregistered Sales of Securities
2018-32
March 6, 2018
NYSE to Pay $14 Million Penalty for Multiple Violations
2018-31
March 5, 2018
SEC Charges Unregistered Broker for Illegally Brokering Sales of EB-5 Securities
2018-30
March 2, 2018
SEC Celebrates African American History Month
2018-29
March 2, 2018
SEC Charges U.K. Brokerage Firm, Investment Manager, CEO, and Others for Manipulative Trading in U.S. Microcap Stocks
2018-28
February 2018
Feb. 28, 2018
SEC Files Charges Seeking to Halt Recidivist and Associates in Scheme to Defraud Small Businesses
2018-27
Feb. 28, 2018
SEC Charges Ameriprise With Overcharging Retirement Account Customers for Mutual Fund Shares
2018-26
Feb. 27, 2018
SEC Announces Agenda for March 8 Investor Advisory Committee Meeting
2018-25
Feb. 21, 2018
SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification
2018-24
Feb. 21, 2018
SEC Charges Former Bitcoin-Denominated Exchange and Operator With Fraud
2018-23
Feb. 21, 2018
SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
2018-22
Feb. 16, 2018
SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme
2018-21
Feb. 16, 2018
SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
2018-20
Feb. 15, 2018
Kyle Moffatt Named Chief Accountant in Division of Corporation Finance
2018-19
Feb. 15, 2018
Karen Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service
2018-18
Feb. 13, 2018
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
2018-17
Feb. 13, 2018
Alberto Arevalo, Associate Director in the Office of International Affairs, to Retire From SEC
2018-16
Feb. 12, 2018
SEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors
2018-15
Feb. 12, 2018
Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
2018-14
Feb. 12, 2018
Deutsche Bank to Repay Misled Customers
2018-13
Feb. 7, 2018
SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities
2018-12
Feb. 2, 2018
SEC Halts Ongoing Fraud by Purported Hedge Fund Manager
2018-11
Feb. 2, 2018
Alleged Perpetrator of Ski Slope Investment Scheme Agrees to Pay Back Investor Money, Surrender Properties
2018-10
January 2018
Jan. 30, 2018
Michael Maloney, Enforcement’s Chief Accountant, to Leave SEC
2018-9
Jan. 30, 2018
SEC Halts Alleged Initial Coin Offering Scam
2018-8
Jan. 25, 2018
SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices
2018-7
Jan. 22, 2018
Six Accountants Charged with Using Leaked Confidential PCAOB Data in Quest to Improve Inspection Results for KPMG
2018-6
Jan. 11, 2018
Robert Jackson and Hester Peirce Sworn In as SEC Commissioners
2018-5
Jan. 11, 2018
Dr. Timothy Timura Named Deputy Chief Economist
2018-4
Jan. 11, 2018
SEC and NYU to Host Jan. 19 Forum on Relationship Between Companies and Shareholders
2018-3
Jan. 10, 2018
SEC Names Richard Best As Regional Director of Atlanta Office
2018-2
Jan. 8, 2018
SEC Issues Agenda for Inaugural Meeting of the Fixed Income Market Structure Advisory Committee
2018-1
December 2017
Dec. 29, 2017
Annual Staff Reports on Credit Rating Agencies Show Improvements
2017-238
Dec. 22, 2017
Commission Staff Provides Regulatory Guidance for Accounting Impacts of the Tax Cuts and Jobs Act
2017-237
Dec. 21, 2017
Gerald Hodgkins, Associate Director of the SEC's Enforcement Division, to Leave the Agency After 20 Years of Service
2017-236
Dec. 21, 2017
SEC Charges Operators of $1.2 Billion Ponzi Scheme Targeting Main Street Investors
2017-235
Dec. 19, 2017
Broker Charged With Giving Special Access to IPOs for Cash Kickbacks
2017-234
Dec. 18, 2017
Marc P. Berger Named Director of New York Regional Office
2017-233
Dec. 14, 2017
SEC Names Kenneth A. Johnson as Chief Operating Officer
2017-232
Dec. 13, 2017
Division of Trading and Markets Deputy Director Gary Barnett to Retire
2017-231
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