This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.
Washington D.C., Sept. 28, 2017— The Securities and Exchange Commission today announced that it is providing regulatory relief to publicly traded companies, investment companies, accountants, transfer agents, municipal advisors and others affected by Hurricane Harvey, Hurricane Irma, and Hurricane Maria. The loss of property, power, transportation, and mail delivery due to the hurricanes poses challenges […]
Andrew Calamari, Regional Director of the SEC’s New York Office, to Leave the Agency After 17 Years of Service
Washington D.C., Sept. 28, 2017— The Securities and Exchange Commission today announced that Andrew M. Calamari, Director of the agency’s New York Regional Office, is planning to leave the agency in October after 17 years of service. Since late 2012, Mr. Calamari has led a staff of approximately 400 enforcement attorneys, accountants, investigators, and compliance […]
The Securities and Exchange Commission today announced its highest-ever Dodd-Frank whistleblower awards, with two whistleblowers sharing a nearly $50 million award and a third whistleblower receiving more than $33 million. The previous high was a $30 million award in 2014. “These awards demonstrate that whistleblowers can provide the SEC with incredibly significant information that enables […]