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The case involves a former hedge fund manager whom the SEC accused of misleading investors.
November 30 -
The commission charged the Top 100 Firm with violating auditor independence rules on many occasions.
September 29 -
GTT Communications self-reported that it has difficulty reconciling data from two different systems, and overreported its income as a result.
September 25 -
The commission charged the firm with systemic quality control failures and violations of audit standards, mainly in connection with its audits of SPAC clients.
June 21 -
A study found that when a company has bad news, it issues unrelated press releases on the same day it files with the SEC.
May 4 -
Enforcement actions increased 55% in 2022, although total monetary settlements were down more than 60%.
April 27 -
The nonprofit software company settled with the commission over charges that it failed to disclose a cyber breach with a potentially material impact.
March 10 -
The IRS in a separate filing asked a court to compel Kraken to turn over its books and other data.
February 10 -
"Proof of reserves is neither a full accounting of the assets and liability of a company, nor does it satisfy segregation of customer funds under the securities laws," said SEC chair Gary Gensler.
December 23 -
The U.S. Supreme Court signaled it may open a new avenue for companies and people to fight off complaints by the Securities and Exchange Commission and Federal Trade Commission.
November 8