What's New

Date Title Division/Office
Investment Company Act Notice - Edgar Street Capital, LLC, Elizabeth Street Capital, LLC and Jane Street Group, LLC Investment Management
Administrative Proceeding - Stoner Cats 2, LLC Enforcement
Administrative Proceeding - Legacy Hospitality II, LLC, Legendary Capital REIT III, LLC and Corey R. Maple Enforcement
Cboe BZX Exchange, Inc. Rule Filing-34-101322 Trading and Markets
Cboe Exchange, Inc Rule Filing-34-101321 Trading and Markets
Long-Term Stock Exchange, Inc. Rule Filing-34-101320 Trading and Markets
Administrative Proceedings: Baxter International Inc., Jeffrey Schaible, and Scott Bohaboy Enforcement
Administrative Proceedings: Morgan Stanley & Co. LLC and Pawan Kumar Passi Enforcement
Administrative Proceeding - Newell Brands Inc. and Michael B. Polk Enforcement
Administrative Proceedings: Claire P. Shaughnessy and Aon Investments USA, Inc. fka Aon Hewitt Investment Consulting, Inc.
Opinions and Adjudicatory Orders: Mark Allan Plummer (Order to Show Cause) Enforcement
Litigation Release - Norman V. Meier Enforcement
Commission Opinion and Adjudicatory Order - Applied Minerals, Inc. Enforcement
Opinions and Adjudicatory Orders: Richard Gregory Tilford (Order Directing Status Report)
Administrative Proceedings: Moog Inc. Enforcement
Administrative Proceedings: Robert H. Turner Enforcement
SEC Charges U.S.-Based Moog Inc. with FCPA Violations for Subsidiary’s Role in Indian Bribery Scheme Enforcement
NYSE Rule Filing - 34-101306 Trading and Markets
CboeEDGX Rule Filing - 34-101305 Trading and Markets
CboeBYX Rule Filing - CboeBYX Trading and Markets

Last Reviewed or Updated: June 28, 2024