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www.sec.gov
SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
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www.sec.gov
)
2024-3-8
Climate
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
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www.sec.gov
)
2023-10-31
SEC Charges LA-Based Media and Entertainment Co. Impact Theory for Unregistered Offering of NFTs.
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www.sec.gov
)
2023-8-29
SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
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www.sec.gov
)
2023-8-8
Wall Street
The SEC just paid a whistleblower $279m
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www.sec.gov
)
2023-5-17
Re: The SEC Proposed Safeguarding Rule (File No. S7-04-23)
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www.sec.gov
)
2023-5-14
The SEC charges ex-Alameda CEO Caroline Ellison and ex-FTX CTO Gary Wang for their role in defrauding FTX's investors at SBF's direction between 2019 and 2022
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www.sec.gov
)
2022-12-22
Investment adviser MNPI (material non-public information) compliance issues - U.S. SEC Risk Alert, 26 Apr. 2022
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www.sec.gov
)
2022-12-20
U.S.
The SEC charges Sam Bankman-Fried with defrauding investors and concealing diverting FTX customer funds to Alameda while raising over $1.8B
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www.sec.gov
)
2022-12-13
Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers
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www.sec.gov
)
2022-12-10
Morgan Stanley
SEC Charges Oracle a Second Time for Violations of Foreign Corrupt Practices Act
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www.sec.gov
)
2022-9-28
Oracle
Morgan Stanley didn't wipe their hard drives before giving them to a third party
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www.sec.gov
)
2022-9-21
Morgan Stanley
Twilio CEO: Layoffs were carried out through an Anti-Racist/Anti-Oppression lens
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www.sec.gov
)
2022-9-16
Layoffs
Racism
SEC Charges VMware with Misleading Investors by Obscuring Financial Performance
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www.sec.gov
)
2022-9-13
VMware
US government bans export of NVIDIA A100 to China and Russia, effective immediately
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www.sec.gov
)
2022-9-2
Russia
China
Nvidia
US Government Bans Export of Nvidia A100 and H100 GPUs to China and Russia
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www.sec.gov
)
2022-9-1
Russia
China
Nvidia
SEC Charges Three with Insider Trading Around Equifax Data Breach Announcement
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www.sec.gov
)
2022-8-17
SEC Charges Eleven Individuals in $300M Crypto Pyramid Scheme
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www.sec.gov
)
2022-8-2
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to an Expansion of The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan.
(
www.sec.gov
)
2022-7-26
SEC Charges Former Coinbase Manager, Two Others in Crypto Asset Insider Trading Action
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www.sec.gov
)
2022-7-22
Asset
Coinbase
SEC issues more than $17M award to a whistleblower
(
www.sec.gov
)
2022-7-20
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