US Securities and Exchange Commission was created in 1929 after the stock market crash to enforce laws against market manipulation. The SEC enforces the Securities Exchange Act of 1933, Trust Indenture Act of 1939, Investment Advisors Act of 1940, Sarbanes-Oxley Act of 2002, and many other statutes. Section 4 of the Securities Exchange Act of 1934 helped create the agency. The most commonly used Category will be “Business.” The most commonly used tags are Fraud, Arrest, and Federal Prison.
SEC Charges RSE Markets Inc. for Operating an Unregistered Securities Exchange. Washington, DC (STL.News) The Securities and Exchange…
The Securities and Exchange Commission announced a Whistleblower Fee of $9,000,000 Washington, DC (STLNews) The Securities and Exchange…
SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports (Compliance Failure) - Fined…
SEC Charges Former Army Financial Counselor Caz L. Craffy, Who Defrauded Gold Star Family Members Washington, DC (STL.News)…
SEC Charges Two Oregon Residents, Robert D. Christensen and Anthony M. Matic, and Their Related Entities with $10…
SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability SEC declines to impose…
