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1 Small investors have pushed big companies toward social change. A new SEC rule will limit their influence.
2 SEC Updates, September 18, 2020
3 U.S. Securities and Exchange Commission launches investigation into FirstEnergy Corp.
4 Summary Distribution Plan Notice of Morgan Stanley Fair Fund Established by the Securities & Exchange Commission ("SEC")
5 SEC Shareholder Amendments & COVID-19
6 SEC Issues No Action Letter to FINRA Regarding ATSs and Digital Asset Trading
7 Securities & Exchange Commission Modernizes The Definition Of "Accredited Investor"
8 Robinhood is being investigated by the Securities and Exchange Commission—Here's why
9 Mason business school professor awarded Securities and Exchange Commission fellowship
10 Securities and Exchange Commission Amends the “Accredited Investor” Definition
11 SEC probes Chinese education firm amid tighter U.S. scrutiny
12 Rapper T.I. Busted by SEC, Agrees to Settlement in Cryptocurrency Scam
13 Robinhood under investigation by SEC, FINRA for handling of day-long March outage, report says
14 KemPharm Files Preliminary Proxy for Special Meeting of Stockholders
15 Hudson : SC 13E3 Going private transaction by certain issuers nt10015072x2_sch13e3.htm
16 World Bank and Thailand's Securities Exchange Commission Help Investors Navigate Sustainable Financing
17 Gores Holdings V, Inc. Announces the Separate Trading of its Class A Common Stock and Warrants Commencing September 28, 2020
18 Form 4 Laird Superfood, Inc. For: Sep 23 Filed by: Buechler Jim
19 Form 4 Laird Superfood, Inc. For: Sep 23 Filed by: GRAVES GREGORY B
20 Opthea Files Registration Statement for Proposed Initial Public Offering in the United States
21 Form 3 Medicine Man Technologie For: Sep 09 Filed by: Krishnamurthy Nirup
22 Fraud Claims Dismissed Against Pallas Holdings, LLC, Perian Salviola, & Kautilya "Tony" Sharma
23 Cohen & Steers REIT and Preferred and Income Fund, Inc. (RNP) Notification of Sources of Distribution Under Section 19(a)
24 Boston Omaha : Announces Formation of Yellowstone Acquisition Company
25 SEC files charges in Williston real estate project
27 SEC Rules and Definitions Update August 31, 2020
28 Amesite Inc. Announces Pricing of Initial Public Offering
30 ReneSola Ltd 6-K Sep. 24, 2020 4:52 PM
31 Form 6-K Lloyds Banking Group For: Sep 25
32 TAT Technologies Ltd. 6-K Sep. 24, 2020 4:05 PM
33 Palantir Announces Update Regarding Outstanding Shares of Common Stock and Shares Permitted to Be Sold Under Lock-Up Agreements
34 GoodRx Announces Closing of Initial Public Offering and Full Exercise of Underwriters' Option to Purchase Additional Shares
35 Asta Funding, Inc. Receives Stockholder Approval for Going-Private Transaction
36 SHAREHOLDER ACTION REMINDER: The Schall Law Firm Announces the Filing of a Class Action Lawsuit Against Wrap Technologies, Inc. and Encourages Investors with Losses in Excess of $100000 to Contact the Firm
37 Both DOJ and SEC reportedly examining Nikola after fraud allegations
38 SHAREHOLDER ACTION ALERT: The Schall Law Firm Announces the Filing of a Class Action Lawsuit Against Golar LNG Limited and Encourages Investors with Losses in Excess of $100000 to Contact the Firm
39 Form 8-K Palantir Technologies For: Sep 25
40 Form 424B2 UBS AG
41 Form 6-K Therapix Biosciences For: Sep 25
42 Form 8-K Genufood Energy Enzymes For: Sep 23
43 SEC Complaint Charges Misleading Claims by Australian Company Over Nevada Mine
44 SEC to begin payment of locked-up funds to customers of 22 collapsed institutions in September
45 Form 8-K TELA Bio, Inc. For: Sep 25
46 ReneSola Power Announces $5 Million Registered Direct Offering
47 The UK and Thai SEC sign MOU to promote inclusive economic growth
48 ZK International Group Co., Ltd. Announces $1.4 Million Convertible Note Financing
49 Best Mutual Funds in August, judging by their performance
50 Form 6-K Huazhu Group Ltd For: Sep 30
51 Form 6-K HeadHunter Group PLC For: Sep 25
52 SenesTech to Present at the October 2020 Lytham Partners Virtual Investor Growth Conference
53 Power Solutions International Announces Settlements with the USAO and SEC to Resolve Previously Disclosed Investigations
54 Former SAExploration executive arrested on charges of wire fraud, securities fraud
55 Thailand and World Bank hold online seminar on sustainable investments, ESG
56 Nutanix, Inc. 8-K Sep. 24, 2020 4:05 PM
57 GeoEnhanced Technologies Retains Pacific Technologies Group to Explore Merger and Acquisition Opportunities
59 Securities and Exchange Commission SEC This Week
60 10x Genomics Announces Launch of a Follow-On Public Offering
61 New stock exchanges are ready to launch to compete for your trading dollar
63 SEC Brought Fewest Insider Trading Enforcement Cases In Decades In 2019
64 Tips to U.S. Securities and Exchange Commission surge in recent weeks -official
65 Dollar Mutual Bancorp to Acquire Standard AVB Financial Corp.
66 Titan Pharmaceuticals Announces Pricing of $2.7 Million Registered Direct Offering
67 Establishment Labs Finalizes Distribution Agreement with Puregraft LLC
68 OSI Systems Receives $59 Million Contract to Provide Security Inspection Systems to Hamad International Airport
69 Cohen & Steers Quality Income Realty Fund, Inc. (RQI) Notification of Sources of Distribution Under Section 19(a)
70 Longfin Fair Fund Established by the Securities & Exchange Commission ("Commission")--Summary Notice of Distribution
71 Securities and Exchange Commission asks D.C. employees to work from home after coronavirus scare
72 International Display Advertising, Inc and ir Med Ltd Agree to Securities Exchange Agreement
73 Honeywell : To Increase Dividend Effective In Fourth Quarter 2020
74 Securities and Exchange Commission provides options for the submission of Reports, Applications, and Other Documents
75 Pretivm Provides Leadership Transition Update
76 Weyland Tech Begins Trading Under New Company Name, Logiq, and Ticker Symbol, LGIQ
77 Kodak Loan Disclosure and Stock Surge Under SEC Investigation
78 Johnson To receive funding for fellowship at Securities & Exchange Commission
79 SEC Proposes Amendments to Form 13F for Investment Managers
80 US trading systems 'holding up well,' top Securities and Exchange Commission official says
81 Securities and Exchange Commission: Systematically Assessing Staff Procedures and Enhancing Control Design Would Strengthen Internal Oversight
82 Morningstar Announces Settlement with US Securities and Exchange Commission
83 Specialty Beverage, Water Companies Eyeing Exciting New Opportunities
84 Vitality Biopharma Retains DelMorgan & Co. to Explore Strategic Alternatives
85 SEC Investigates China’s Luckin Coffee Over Accounting Scandal
86 COVID-19 Regulatory Actions and Developments
87 SEC Warns Main Street Investors About COVID-19 Fraud
88 Why We’re Suing the SEC
89 SEC puts US Oil Fund on notice over investor disclosures
90 Steven Seagal charged by Securities and Exchange Commission with failing to disclose payments
91 Bradley W. Johnson Appointed General Counsel of Fuel Tech
92 The SEC told bankrupt Hertz it has issues with its plan to sell stock, Chairman Jay Clayton says
93 Securities & Exchange Commission ("Commission") Establishes Longfin Fair Fund--Summary Notice of Distribution
94 US SEC Launches PPP Loan Investigations
95 Cohen & Steers Select Preferred and Income Fund, Inc. (PSF) Notification of Sources of Distribution Under Section 19(a)
96 OSPN INVESTOR FILING DEADLINE: Bernstein Liebhard Reminds Investors of the Lead Plaintiff Motion Filing Deadline in a Securities Class Action Lawsuit Against OneSpan Inc.
97 Securities and Exchange Commission Guidance on Conditional Relief from Coronavirus
98 Libbey Reaches Agreements with Unions on Modifications to Labor Contracts and Retiree Benefits
99 Preferred Apartment Communities Announces Agreement to Sell its Student Housing Portfolio to TPG Real Estate Partners
100 Securities and Exchange Commission Issues Emergency COVID-19 Relief to Funds and Advisers