The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. The Division publishes its examination priorities annually to provide insights into its risk-based approach, including the areas it… Full report at: Read More

Former Convicted Felon to Pay $24 Million to Settle SEC Charges for Operating a Ponzi and Pyramid Scheme Read the full report at Read More

The Securities and Exchange Commission today announced the start of the selection process to fill a seat on the Public Company Accounting Oversight Board (PCAOB) that will become vacant in October. The PCAOB appointment is for a five-year term from… Full report at: Read More

SEC Charges Las Vegas Resident in Crypto Fraud Targeting Filipino Community in California Read the full report at Read More

SEC Charges Pennsylvania Investment Adviser with Multi-Million Dollar Fraud Read the full report at Read More

SEC Files Charges in Fine Wine Investment Fraud Scheme Read the full report at Read More

SEC Obtains Final Judgment in Microcap Fraud Litigation Read the full report at Read More

The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure… Full report at: Read More

SEC Charges Nevada-Based Investment Adviser for Conducting Fraudulent “Cherry-Picking” Scheme Read the full report at Read More

The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, and… Full report at: Read More