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Title: SEC Charges Alexion Pharmaceuticals With FCPA Violations Release No.:2020-149 Title: SEC Announces Agenda, Panelists for Staff Roundtable on Emerging Markets Release No.:2020-148 Title: SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers Release No.:2020-147 Title: Telegram to Return $1.2 Billion to Investors and Pay $18.5 Million Penalty to Settle SEC Charges Release No.:2020-146 Title: SEC Charges Issuer, CEO, and Lobbyist With Defrauding Investors in AML BitCoin Release No.:2020-145 Title: SEC Charges Novartis AG with FCPA Violations Release No.:2020-144 Title: Financial Regulators Modify Volcker Rule Release No.:2020-143 Title: SG Americas to Pay $3.1 Million to Settle Charges of Providing Deficient Blue Sheet Data Release No.:2020-142 Title: SEC Awards $125,000 to Whistleblower Release No.:2020-141 Title: Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding Release No.:2020-140 Title: SEC Extends Relief for Virtual Meetings of Fund Boards Release No.:2020-139 Title: SEC Awards Almost $700,000 to Whistleblower Release No.:2020-138 Title: SEC Emergency Action Halts Brothers’ Cryptocurrency Offering Fraud Release No.:2020-137 Title: Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years Release No.:2020-136 Title: Insurance Company and Former CFO Charged With Faulty Loss Reserves Disclosures Release No.:2020-135 Title: SEC Names Jennifer S. Leete as Associate Director in Enforcement Division Release No.:2020-134 Title: SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever” Release No.:2020-133 Title: SEC Charges Broker Who Defrauded Seniors Out of Almost $1 Million Release No.:2020-132 Title: SEC Charges Microcap Fraud Scheme Participants Attempting to Capitalize on the COVID-19 Pandemic Release No.:2020-131 Title: FinHub to Host Virtual Meet-Ups Release No.:2020-130 Title: New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud Release No.:2020-129 Title: SEC Charges California Trader Engaged in Manipulative Trading Scheme Involving COVID-19 Claims Release No.:2020-128 Title: Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks Release No.:2020-127 Title: SEC Awards Record Payout of Nearly $50 Million to Whistleblower Release No.:2020-126 Title: SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee Release No.:2020-125 Title: Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors Release No.:2020-124 Title: Private Equity Firm Ares Management LLC Charged With Compliance Failures Release No.:2020-123 Title: SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund Release No.:2020-122 Title: SEC Announces Virtual Conference on Municipal Securities Disclosure Release No.:2020-121 Title: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens Release No.:2020-120 Title: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee Release No.:2020-119 Title: SEC Adopts Amendments to Improve Financial Disclosures about Acquisitions and Dispositions of Businesses Release No.:2020-118 Title: SEC Announces 2020 Small Business Forum, to Be Held Virtually Release No.:2020-117 Title: SEC Staff to Host July 9 Roundtable on Emerging Markets Release No.:2020-116 Title: SEC Charges Three Former KPMG Audit Partners for Exam Sharing Misconduct Release No.:2020-115 Title: SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability Release No.:2020-114 Title: SEC Announces New Investor Advisory Committee Members Release No.:2020-113 Title: SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations Release No.:2020-112 Title: SEC Charges Companies and CEO for Misleading COVID-19 Claims Release No.:2020-111 Title: SEC Obtains Receiver Over Florida Investment Adviser Charged With Fraud Release No.:2020-110 Title: SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients Release No.:2020-109 Title: Chairman Jay Clayton Announces Additions to Executive Staff Release No.:2020-108 Title: SEC Names John Moses Managing Executive in Chairman’s Office Release No.:2020-107 Title: Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency Release No.:2020-106 Title: SEC Investor Advisory Committee to Meet Virtually on May 21 Release No.:2020-105 Title: SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations Release No.:2020-104 Title: SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans Release No.:2020-103 Title: SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers Release No.:2020-102 Title: SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings Release No.:2020-101 Title: SEC Awards Almost $2 Million to Whistleblower Release No.:2020-100 Title: Small Business Capital Formation Advisory Committee to Discuss the SEC’s Capital Formation Proposal on May 8 Release No.:2020-99 Title: SEC Awards Over $18 Million to Whistleblower Release No.:2020-98 Title: SEC Charges Company and CEO for COVID-19 Scam Release No.:2020-97 Title: SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19 Release No.:2020-96 Title: SEC Forms Cross-Divisional COVID-19 Market Monitoring Group Release No.:2020-95 Title: Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office Release No.:2020-94 Title: SEC Proposes to Modernize Framework for Fund Valuation Practices Release No.:2020-93 Title: SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19 Release No.:2020-92 Title: SEC Issues $5 Million Whistleblower Award Release No.:2020-91 Title: SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors Release No.:2020-90 Title: SEC Awards Over $27 Million to Whistleblower Release No.:2020-89 Title: SEC Charges Former Financial Services Executive With FCPA Violations Release No.:2020-88 Title: Natasha Guinan Named Chief Counsel, Office of the Chief Accountant Release No.:2020-87 Title: SEC Enhances Standards for Critical Market Infrastructure Release No.:2020-86 Title: Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case Release No.:2020-85 Title: SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses Release No.:2020-84 Title: In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds Release No.:2020-83 Title: SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS Release No.:2020-82 Title: Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data Release No.:2020-81 Title: SEC Awards Approximately $2 Million to Whistleblower Release No.:2020-80 Title: Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period Release No.:2020-79 Title: SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts Release No.:2020-78 Title: SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising Release No.:2020-77 Title: SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses Release No.:2020-76 Title: SEC Awards $450,000 to Whistleblower Release No.:2020-75 Title: SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19 Release No.:2020-74 Title: SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19) Release No.:2020-73 Title: SEC Charges Unregistered Penny Stock Dealer Release No.:2020-72 Title: SEC Awards Over $570,000 to Two Whistleblowers Release No.:2020-71 Title: SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus Release No.:2020-70 Title: SEC Awards Over $1.6 Million to Whistleblower Release No.:2020-69 Title: SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-68 Title: SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor Release No.:2020-67 Title: SEC Emergency Action Stops Digital Asset Scam Release No.:2020-66 Title: Jury Finds Investment Adviser and its Owner Liable for Fraud Release No.:2020-65 Title: Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor Release No.:2020-64 Title: SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Board Meetings and Provides Conditional Relief from Certain Filing Procedures Release No.:2020-63 Title: SEC Staff Provides Guidance to Promote Continued Shareholder Engagement, Including at Virtual Annual Meetings, for Companies and Funds Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-62 Title: SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam Release No.:2020-61 Title: SEC Wins Jury Trial Against Microcap Fraudsters Release No.:2020-60 Title: Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC Release No.:2020-59 Title: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Appropriately Tailoring the Accelerated and Large Accelerated Filer Definitions Release No.:2020-58 Title: SEC Adopts Investor Disclosure Improvements for Variable Annuities and Variable Life Insurance Contracts Release No.:2020-57 Title: SEC Halts Fraudulent Offering By Florida Investment Adviser Release No.:2020-56 Title: EVENT POSTPONED: SEC Announces Conference on Municipal Securities Disclosure Release No.:2020-17 Title: SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework Release No.:2020-55 Title: SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs Release No.:2020-54 Title: SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19) Release No.:2020-53 Title: SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis Release No.:2020-52 Title: SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies Release No.:2020-51

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