The Evidence Record
- SEC Chair Mary Jo White: Remarks to the Council of Institutional Investors (2013)
Government Record · 2013
U.S. Securities and Exchange Commission
SEC Chair Mary Jo White, September 2013: announced the SEC would demand admissions of wrongdoing in some cases, such as egregious conduct or widespread harm to…
- SEC Form D — Flock Group Inc. (2018-08-29)
Corporate Filing · 2018
Flock Group Inc.
Flock's first SEC Form D notice (August 2018): $9.59 million sold to 20 investors. The filing lists Flock as a Delaware corporation organized in 2017 with…
- SEC Form D — Flock Group Inc. (2018-11-21)
Corporate Filing · 2018
Flock Group Inc.
Flock's SEC Form D notice from November 2018: about $10 million sold to 8 investors, signed by Garrett Langley as CEO.
- SEC Form D — Flock Group Inc. (2020-04-06)
Corporate Filing · 2020
Flock Group Inc.
Flock's SEC Form D notice from April 2020: $15.9 million sold to 13 investors.
- SEC Form D — Flock Group Inc. (2020-11-02)
Corporate Filing · 2020
Flock Group Inc.
Flock's SEC Form D notice from November 2020: $46.6 million sold, the round Flock announced as its $47 million Series C.
- SEC Form D — Flock Group Inc. (2021-07-16)
Corporate Filing · 2021
Flock Group Inc.
Flock's SEC Form D notice from July 2021: $150 million sold, the Series D led by Andreessen Horowitz. It lists a16z partner David Ulevitch as a…
- SEC Form D — Flock Group Inc. (2022-02-15)
Corporate Filing · 2022
Flock Group Inc.
Flock's SEC Form D notice from February 2022: $150 million sold in the Series E. Directors listed include Langley, Feury, Ilya Sukhar, Alex Clayton and David…
- SEC Inspector General: Investigation of the Failure to Uncover Madoff’s Ponzi Scheme (2009)
Government Record · 2009
SEC Office of Inspector General (Kotz, H. David)
SEC Inspector General, August 2009: despite numerous credible and detailed complaints over 16 years, the SEC never properly examined Bernard Madoff's trading or took basic steps…
- SEC Litigation Release No. 25261
Government Record · 2021
U.S. Securities and Exchange Commission
The release describes the Burr/Fauth investigation and more than $1.6 million in stock sold on February 13, 2020. It expressly makes no violation finding.
- SEC v. Citigroup Global Markets (2d Cir. 2014)
Court Filing · 2014
U.S. Court of Appeals for the Second Circuit
Federal appeals court, June 2014: overturned Judge Jed Rakoff's 2011 refusal to approve an SEC settlement in which Citigroup admitted nothing. Judges cannot demand admissions before…
- SEC v. Jarkesy (2024)
Court Filing · 2024
Supreme Court of the United States (Roberts, C.J.; Sotomayor, J., dissenting)
U.S. Supreme Court, June 2024: when the SEC seeks civil penalties for securities fraud, the accused has a right to a jury trial, not an in-house…
- SEC: About the SEC, Mission
Government Record
U.S. Securities and Exchange Commission
SEC's own statement of its mission: protecting investors, keeping markets fair and efficient, and helping companies raise capital. The SEC is a markets and disclosure regulator.…
- SEC: Enforcement Director Robert Khuzami to Leave Agency (2013)
Government Record · 2013
U.S. Securities and Exchange Commission
SEC, January 2013: announced that enforcement director Robert Khuzami was leaving after about four years.
- SEC: Historical Summary of Chairmen and Commissioners
Government Record
U.S. Securities and Exchange Commission
SEC's own roster of its leaders: Joseph P. Kennedy was the first chairman (1934 to 1935), Mary Jo White chaired 2013 to 2017, and Paul S.…
- SEC: Policy Change on Settlements (2012)
Government Record · 2012
U.S. Securities and Exchange Commission (Khuzami, R.)
SEC, January 2012: defendants who were criminally convicted or admitted wrongdoing in a criminal deal could no longer settle with the SEC while denying the same…
- SEC: Rescission of the ‘Gag Rule’ on Settlement Denials (2026)
Government Record · 2026
U.S. Securities and Exchange Commission (Countryman, V., Secretary)
SEC, May 2026: repealed Rule 202.5(e), the 1972 policy that let the SEC settle only if the defendant agreed never to publicly deny the charges. The…
- SEC: Rule 10b-18 Safe Harbor for Stock Buybacks, FAQ
Government Record · 2017
SEC Division of Trading and Markets staff
SEC staff guidance: Rule 10b-18 (1982) is a voluntary "safe harbor" for companies buying back their own stock. Buybacks were not illegal before it.
- Secretary Yellen’s Statement on the Confirmation of Wally Adeyemo as Deputy Secretary of the Treasury
Government Record · 2021
U.S. Department of the Treasury
Officially verifies Adeyemo’s Deputy Treasury Secretary confirmation and date. It does not document the claimed prior BlackRock employment or his OGE disclosure.
- Securing Australia’s Sovereignty (Pine Gap statement)
Government Record · 2023
Richard Marles, Australian Minister for Defence
Australia's Defence Minister on Pine Gap: jointly run with the United States for intelligence, communications, counterterrorism, arms-control verification and missile early warning, with half the staff…
- Securities Exchange Act of 1934, Section 4: Creating the SEC
Government Record · 1934
73rd U.S. Congress
Congress, June 1934: Section 4 of the Securities Exchange Act created the Securities and Exchange Commission, a five-member commission appointed by the President with Senate confirmation.
- Security — CTA camera network
Government Record
Chicago Transit Authority
Chicago Transit Authority security page: CTA runs about 39,000 cameras with full connection to the Chicago Police Department. This is CTA's own count, not the city's…
- Semiannual Monetary Policy Report to the Congress, Testimony of Chair Jerome H. Powell (June 30, 2020)
Government Record · 2020
Jerome H. Powell, Federal Reserve Board
Fed Chair Powell's June 2020 testimony: the two corporate credit facilities could support up to $750 billion, backed by $75 billion of Treasury equity, and outflows…
- Sen. Rick Scott: Bill to Permanently Ban Members of Congress from Lobbying (2026)
Government Record · 2026
Office of Sen. Rick Scott (rickscott.senate.gov)
Sen. Rick Scott, with Sen. Elizabeth Warren, May 2026: introduced a bill to permanently ban former members of Congress from lobbying, with prison time for willful…
- Senate Bill 818, Truly Agreed To and Finally Passed
Government Record · 2008
Missouri General Assembly
The enrolled measure repeals and reenacts provisions including sections 160.261, 565.090, and 565.225 and expands harassment coverage.