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1 Securities and Exchange Commission: Market Data Infrastructure B-333217 May 04, 2021
2 The SEC should—and can—pay more attention to financial stability
3 Priority Open Recommendation: Securities and Exchange Commission GAO-21-504PR Published
4 SEC Plans New Workforce Data Disclosure Rule
5 SEC Enforcement Head Resigns One Week After Being Hired
6 U.S. SEC chair tells Congress he plans new rules on climate risk, trading
7 SEC delays decision on approving bitcoin ETF
8 SEC Charges Texas Advisor With $3.7M Securities Fraud
9 Alex Oh Named Securities and Exchange Commission Enforcement Director
10 U.S. SEC enforcement chief steps down after five days on job
11 The Future of SEC Enforcement Under the Biden Administration
12 SEC Reopens Comment Period On 2016 Universal Proxy Proposal
13 The Securities Exchange Commission is becoming woke
15 SEC Pursues Updates to Climate and ESG Disclosures
16 SEC Settles Charges Against GWFS Equities for $1.5 Million
17 Empower Retirement subsidiary fined $1.5 million for not reporting cyberattacks on some retirement accounts
18 Form 8-K Desktop Metal, Inc. For: May 14
19 SEC Statement on Registered Funds Investing in Bitcoin Futures
20 SEC: Risks of Mutual Funds Exposed to Bitcoin Futures Market
21 Reaction: Gary Gensler Confirmed as SEC Chairman
22 Bitwise 10 Crypto Index Fund Files Form 10 with U.S. Securities and Exchange Commission
23 SEC issues $3.6M award to whistleblower
24 SEC ups accounting and auditing enforcement, but PCAOB's another story
25 The SEC Staff Takes On ESG Investing | Morgan Lewis
26 SPAC transactions come to a halt amid SEC crackdown, cooling retail investor interest
27 As ESG Grows, the SEC Is Ramping Up Compliance Requirements
28 Form 4 CANTALOUPE, INC. For: May 14 Filed by: RICHEY ELLEN
29 Gary Gensler Will Be New Securities and Exchange Commission Chair
30 New SEC chair Gary Gensler sworn into office | TheHill
31 Securities and Exchange Commission extends anew the deadline to file 2021 General Information Sheets
32 Figure's journey with the SEC proves itself the anti-Ripple
33 SEC Staff Issues Statement on Bitcoin Futures
34 Two More SPACs to Restate Financial Results
35 SEC Speaks Out On SPACs
36 Chuck Schumer can’t stop woke progressives from chucking out SEC pick
37 Form 8-K Woodbridge Liquidation For: May 14
38 Form 3 CapStar Financial Holdin For: Apr 26 Filed by: Lambert Kevin
39 nVent Announces Share Repurchase Authorization | Business | The Daily News
40 The Simply Good Foods Announces Response to SEC Guidance
41 U.S. SEC issues $50 million whistleblower pay-out, second largest on record
42 Form 8-K Decarbonization Plus For: May 14
43 SEC Presses Ahead With Ripple Lawsuit With Gensler at the Helm
44 Form 8-K Keros Therapeutics, Inc. For: May 14
45 Form NT 10-Q Northern Star Investment For: Mar 31
46 Grayscale Digital® Large Cap Fund Files Form 10 with SEC
47 SPACs Face Potentially Sweeping Impact From SEC's Accounting Guidance
48 Ripple's Defense "Legally Insufficient," Says SEC
49 The SEC’s Cryptocurrency Confusion
50 Verde Bio Holdings, Inc. Explains U.S. Securities & Exchange Commission Filing
51 Burrell trust adopts Rule 10b5-1 stock disposition plans
53 US Well Services Announces Response to SEC Guidance Issued on April 12, 2021 Applicable to Warrants Issued by Special Purpose Acquisition Companies ("SPACs")
54 Medley Management (MDLY) Announces Regulatory Matter Update
55 FINAL DEADLINE MONDAY: The Schall Law Firm Reminds Investors of Securities Fraud Class Action Lawsuit Filed Against Lordstown Motors Corp. and Encourages Investors with Losses in Excess of $500,000 to Contact the Firm
56 Form 8-K Consonance-HFW Acquisiti For: May 13
57 Form 8-K Motion Acquisition Corp. For: May 10
58 Form 424B2 UBS AG
59 Former Mid-State Securities Broker Sentenced To Federal Prison For Stealing From Elderly Clients
60 Form 6-K Valneva SE For: May 14
61 Form 8-K KinerjaPay Corp. For: May 13
62 Form 8-A12B Skylight Health Group
63 Announces Filing of Annual Report on Form 20-F
64 How the SEC Affects You and the Economy
65 Mind the (Data) Gaps, SEC Commissioner Caroline A. Crenshaw, Washington DC, May 14, 2021, Keynote Address At The 8th Annual Conference On Financial Market Regulation (CFMR)
66 Ingersoll Rand Announces Pricing of its Secondary Offering of 14924081 Shares of Common Stock
67 Ingersoll Rand Announces Secondary Offering of 14924081 Shares of Common Stock
68 Form 6-K Atlas Corp. For: May 13
69 SEC clampdown on SPACs to bring maturity to market
70 Form 10-Q SANDSTON CORP For: Mar 31
71 Week Ahead in Securities: May 17, 2021
73 Form 8-K NOCERA, INC. For: May 10
74 Recro Announces Closing of Public Offering of Common Stock and Full Exercise of Underwriters' Option to Purchase Additional Shares
75 Unreported Cyberattacks on Retirement Accounts Lead to $1.5M SEC Fine for BD
76 Labaton Sucharow LLP Files Securities Class Action Lawsuit Against Array Technologies, Inc. and Related Parties
77 What Is A Stock Exchange? – Forbes Advisor
78 Fuel Tech Announces Annual Meeting of Stockholders
79 Form S-8 Valaris Ltd
80 Form 8-K CHINA JO-JO DRUGSTORES, For: May 14
81 Judge sanctions Paul, Weiss and would-be SEC enforcer Alex Oh in Exxon case
82 VistaGen Therapeutics, Inc. 8-K May. 14, 2021 4:09 PM
83 ACRES Commercial Realty Corp. Announces Pricing of Public Offering of 7.875% Series D Cumulative Redeemable Preferred Stock
84 SEC Continues to Make ESG a Main Priority
85 Granite Point Mortgage Trust Inc. Announces Closing of $824 Million Commercial Real Estate CLO
86 Form 10-K/A NewHold Investment Corp. For: Dec 31
87 Monaker Group Announces Pricing of $8.1 Million Underwritten Public Offering of Common Stock
88 BRT Apartments Corp. Announces Termination of Public Offering of Common Stock
89 A Top Pension Bought Tesla and GM Stock, and Sold GE and Walmart Stock
92 Axonics® Announces Upsize and Pricing of Public Offering of Common Stock
93 SHAREHOLDER ALERT: Pomerantz Law Firm Reminds Shareholders with Losses on their Investment in SOS Limited of Class Action Lawsuit and Upcoming Deadline – SOS
94 Billion-dollar Covid-19 deal linked to Kenya attracts SEC review
95 Alset EHome International Inc. Closes $32.0 Million Underwritten Public Offering of Units
96 SolarWinds is being investigated by the Securities and Exchange Commission, filing shows
97 Dakota Territory Resource Corp Announces a Merger Agreement with JR Resources, Rebranding to Dakota Gold Corp and 4 for 1 Reverse Stock Split
98 The SEC's change of climate on climate change and ESG | Greenbiz
99 Form S-3/A Repay Holdings Corp
100 Freddie Mac Announces Pricing of $372 Million Multifamily Small Balance Loan Securitization