Headline: SEC Investor Advisory Committee to Discuss Private Funds and Outbound Investments to Countries of Concern, Digital Engagement Practices, and Audit Committee Workloads at June 22nd Meeting Headline: SEC Charges Investment Fund Founder William K. Headline: SEC Charges Convicted Fraudster in Real Estate Ponzi Scheme Headline: SEC Charges Florida Resident for Operating $112 Million Ponzi Scheme that Targeted Haitian-American Community Headline: SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer Headline: SEC Charges Former MusclePharm Executives with Accounting and Disclosure Fraud

Headline: SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities Headline: SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement Headline: SEC Charges Stockbroker and Friend with Insider Trading Headline: SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme Headline: SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Headline: SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports Headline: SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule Headline: SEC Awards Whistleblower More Than $9 Million for Operating an Unregistered Securities Exchange Headline: SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities

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