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10.01. 18:30 SEC Charges Global Software Company SAP for FCPA Violations SEC

05.01. 18:30 SEC Appoints Stacey Bowers as Small Business Advocate SEC

03.01. 22:15 SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief SEC

03.01. 18:35 Mark Uyeda Sworn in for Second Term as SEC Commissioner SEC

22.12.23 19:30 Dean C. Metry Named Chief Administrative Law Judge at SEC SEC

22.12.23 16:55 BarnBridge DAO Agrees to Stop Unregistered Offer and Sale of Structured Finance Crypto Product SEC

22.12.23 15:56 SEC Awards More Than $28 Million to Seven Whistleblowers SEC

22.12.23 14:45 SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud SEC

19.12.23 23:23 SEC Charges Former CEO of Medical Device Startup Stimwave with $41 Million Fraud SEC

19.12.23 16:00 SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief SEC

15.12.23 17:05 SEC Issues Staff Report on Accredited Investor Definition SEC

14.12.23 22:45 SEC Small Business Advocacy Office Delivers Report to Congress on Capital Raising from Startups to Small Public Companies SEC

14.12.23 17:52 SEC Charges Titanium Capital and Founder Henry Abdo with Operating Ponzi Scheme SEC

14.12.23 14:34 SEC Obtains Emergency Relief to Halt $191 Million Cattle Ponzi Scheme SEC

13.12.23 22:00 Credit Suisse Entities to Pay $10 Million for Providing Prohibited Mutual Fund Services SEC

13.12.23 19:20 SEC Approves 2024 PCAOB Budget and Accounting Support Fee SEC

13.12.23 17:50 SEC Adopts Rules to Improve Risk Management in Clearance and Settlement and Facilitate Additional Central Clearing for the U.S. Treasury Market SEC

07.12.23 19:55 Daniel R. Gregus, Director of the Chicago Regional Office, to Depart the SEC SEC

07.12.23 15:00 SEC Charges Five Unregistered Brokers, Four Companies in Widespread Pre-IPO Fraud Scheme SEC

05.12.23 16:15 SEC Office of the Investor Advocate Publishes Its Policy Recommendations on Mandatory Arbitration and Registered Index-Linked Annuities Research SEC

30.11.23 19:13 SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting SEC

29.11.23 23:00 SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud SEC

29.11.23 22:00 SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office SEC

27.11.23 21:30 SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations SEC

22.11.23 16:30 SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process SEC

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