The Securities and Exchange Commission (SEC) sacks Ndi Okereke-Onyuike, the director-general of the Nigerian Stock Exchange and suspends its chairman, Aliko Dangote.
The U.S. Securities and Exchange Commission tells a judge in New York that she has the power to decide whether the CEO of Tesla, Elon Musk, violated the terms of his settlement with the SEC without holding a hearing, because there are no open issues of material fact.
The U.S. Securities and Exchange Commission hosts a roundtable in which experts and the representatives of affected industries discuss the consequences that decimalisation has had on the market for equity in the U.S., especially regarding small caps.
In the U.S., the Commodity Futures Trading Commission and the Securities and Exchange Commission finalize joint rules that will limit which firms must register with either or both of those agencies as "swap dealers."
Jed S. Rakoff, a judge at the U.S. District Court in Manhattan, denies approval to a settlement agreement between the Securities and Exchange Commission and the investment bank Citigroup, which the SEC has charged with deceiving investors about the conditions under which a certain portfolio's investments had been chosen.
The U.S. Securities and Exchange Commission files a lawsuit alleging that unnamed persons engaged in illegal insider trading in the two days before French company Technip announced its plan to buy U.S. company Global Industries.
Ally Financial, the company formerly known as General Motors Acceptance Corporation, announced in a filing with the Securities and Exchange Commission that the U.S. Treasury Department will be selling some of Ally's preferred securities. This is part of the unwinding of the Treasury's investment in the auto industry as a result of the 2008 financial crisis.
Former Countrywide Financial Chief Executive Officer Angelo Mozilo and two other senior executives agree to settle United States Securities and Exchange Commission claims that they misled investors and of insider trading.