The Securities and Exchange Commission announced it has voted to issue two exemptive orders in order to move Consolidated Audit Trail (CAT) implementation forward: (1) establishing a phased CAT reporting timeline for broker-dealers, and (2) permitting…

The Securities and Exchange Commission today announced that it has voted to propose a new rule that would establish a framework for fund valuation practices.  The rule is designed to clarify how fund boards can satisfy their valuation obligations in…

The Securities and Exchange Commission today announced that Louis Gracia and Vanessa Horton have been named Associate Directors of the Investment Adviser/Investment Company (IA/IC) examination program in the agency's Chicago Regional Office. Together, Mr…

The Securities and Exchange Commission today announced the formation of an internal, cross-divisional COVID-19 Market Monitoring Group.  This temporary, senior-level group will assist the Commission and its various divisions and offices in (1)…

The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower whose significant information prompted an examination that resulted in an important enforcement action. The whistleblower repeatedly reported the…

The Securities and Exchange Commission today released the agenda for the Friday, May 8 meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference. The Committee will discuss the Commission’s recent…

The Securities and Exchange Commission today announced an award of nearly $2 million to a whistleblower whose information and assistance helped the agency bring a successful enforcement action and allowed investors to recover much of their money. …

The Securities and Exchange Commission today announced that it is providing temporary, conditional relief for established smaller companies affected by COVID-19 that may look to meet their urgent funding needs through a Regulation Crowdfunding offering.…

The Securities and Exchange Commission announced that it is premiering new multimedia resources to support teachers in connection with Teacher Appreciation Week. This content builds on the Commission’s longstanding efforts to serve teachers in both their…

The Securities and Exchange Commission today filed settled charges against registered broker-dealer Bloomberg Tradebook LLC for making material misrepresentations and omitting material facts about how the firm handled certain customer trade orders. The…

Documents filed on February 3, 2020

• Plea Agreement Letter
• Information

A federal grand jury returned an indictment today charging eight individuals with conspiring to violate federal criminal copyright law by running two of the largest unauthorized streaming services in the United States, resulting in the loss of millions of dollars by television program and motion picture copyright owners.

TULSA, Okla. – Hongjin Tan, a 35 year old Chinese national and U.S. legal permanent resident, pleaded guilty Tuesday in federal court to committing theft of trade secrets from his employer, a U.S. petroleum company.

Seattle – A 21-year-old Palmdale, California, man pleaded guilty today in U.S. District Court in Seattle to federal crimes related to his computer hacking scheme and his possession of child pornography found on his digital devices, announced U.S. Attorney Brian T. Moran.

A superseding indictment was returned yesterday in federal court in Brooklyn, New York, charging Huawei Technologies Co. Ltd. (Huawei), the world’s largest telecommunications equipment manufacturer, and two U.S. subsidiaries with conspiracy to violate the Racketeer Influenced and Corrupt Organizations Act (RICO).

TULSA, Okla. –A former associate scientist was sentenced Thursday in federal court for stealing proprietary information worth more than $1 billion from his employer, a U.S. petroleum company.

Federal authorities announced today that an ongoing cooperative effort between law enforcement and a number of private-sector companies, including multiple internet domain providers and registrars, has disrupted hundreds of internet domains used to exploit the COVID-19 pandemic to commit fraud and other crimes.

On February 21, ICITAP completed the Basic Criminal Investigation Training Course for 29 members of the Belize Police Department’s Criminal Investigation Branch.

On February 27, in Antigua, Guatemala, OPDAT hosted an Operation Regional Shield meeting with prosecutors, investigators, and analysts from Honduras, El Salvador, Guatemala, and Mexico.

On February 28, ICITAP completed an intensive two-week engagement to provide the Nepal Police Job Task working group assistance in finalizing the criminal investigator task list, equipment list, and risk analysis lists for criminal investigator position. 

On February 28, ICITAP concluded the Advanced First Aid Course at the National Highway & Motorway Police (NHMP) Training Facility in Kot Ranjit.

Newly published FOIA Litigation and Compliance Report details a range of efforts by OIP to encourage government-wide compliance with the FOIA, including new policy guidance, robust government-wide training, and other open government initiatives.

As citizens across the nation follow public health instructions to shelter in their homes to prevent the spread of the Coronavirus Disease, victims of domestic violence and sexual abuse are facing increased risk to their own personal safety.

The spread of the coronavirus disease 2019 (COVID-19) in the United States is having a dire effect on all Americans, but victims of domestic violence, dating violence, sexual assault, and stalking are uniquely burdened by this crisis.

Many victims of domestic abuse are currently left no option than to shelter in place and to stay in their home with their abuser to mitigate the spread of COVID-19. As a result, many communities are implementing creative solutions, often working remotely and incorporating the use of technology, to protect victims and prevent violence.

On April 27, ICITAP’s Central America mission conducted a webinar titled “Pathology and Crime Scene Investigation (CSI) During the COVID-19 Pandemic” for hundreds of subject matter experts from throughout the Western Hemisphere. Chaired by ICITAP-Central America’s Attaché, the 80-minute webinar began with a pre-recorded media interview from the Dominican Republic, which highlighted the critical work currently carried out by the Office of the Chief Medical Examiner (OCME) in Washington, DC.

Over the past few months, our lives have changed dramatically due to COVID-19. We have seen the best of America emerge – our nation’s medical professionals, first responders, and supply chain workers have acted heroically, along with so many others.

OIP is now accepting registration for topic-specific FOIA training sessions to be offered online. 

The Department of Justice has released the agenda and list of participants for its March 11, 2020, public workshop to solicit public dialogue on the proposed vertical merger guidelines. The workshop will be the first in a two-part series hosted together with the Federal Trade Commission. The two half-day workshops will allow for a dynamic discussion about the proposed guidelines to complement the written public comments about the proposed guidelines that were submitted to the agencies.

The Department of Justice this week concluded an arbitration that will resolve a civil antitrust lawsuit challenging Novelis Inc.’s proposed acquisition of Aleris Corporation. The lawsuit seeks to preserve competition in the North American market for rolled aluminum sheet for automotive applications, commonly referred to as aluminum auto body sheet. This marks the first time the Antitrust Division has used its authority under the Administrative Dispute Resolution Act of 1996 (5 U.S.C. § 571 et seq.) to resolve a matter.

The Department of Justice prevailed in a first-of-a-kind arbitration, which will resolve a civil antitrust lawsuit challenging Novelis’s proposed merger with Aleris Corporation.  As a result, Novelis must divest Aleris’s entire aluminum auto body sheet operations in North America, which will fully preserve competition in this important industry.  In addition, under the terms of the arbitration agreement between defendants and the Department, Novelis must reimburse the Department for its fees and costs incurred in connection with the arbitration.