Date: June 7, 2024
Headline: SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes
Release No.: 2024-69
Date: June 5, 2024
Headline: SEC Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and Practices
Release No.: 2024-68
Date: June 4, 2024
Headline: SEC to Close Salt Lake Regional Office
Release No.: 2024-67
Date: May 31, 2024
Headline: SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock
Release No.: 2024-66
Date: May 31, 2024
Headline: SEC Investor Advisory Committee to Examine the New Frontier for Investment Advice and Discuss AI Regulation at June 6 Meeting
Release No.: 2024-65
Date: May 29, 2024
Headline: SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts
Release No.: 2024-64
Date: May 22, 2024
Headline: SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber Intrusion
Release No.: 2024-63
Date: May 21, 2024
Headline: SEC Chair Gensler Statement on Upcoming Implementation of T+1 Settlement Cycle
Release No.: 2024-62
Date: May 20, 2024
Headline: SEC Issues Exemptive Order Providing Additional Time for Certain Registrants to File Quarterly Reports in Light of BF Borgers Permanent Suspension
Release No.: 2024-61
Date: May 17, 2024
Headline: SEC Announces Departure of Policy Director Heather Slavkin Corzo and Appointment of Corey Klemmer to the Role
Release No.: 2024-60
Date: May 16, 2024
Headline: Tina Diamantopoulos Named Regional Director of Chicago Office
Release No.: 2024-59
Date: May 16, 2024
Headline: SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
Release No.: 2024-58
Date: May 15, 2024
Headline: SEC Staff Publishes New Investment Adviser Statistics Report
Release No.: 2024-57
Date: May 14, 2024
Headline: SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
Release No.: 2024-56
Date: May 14, 2024
Headline: SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest
Release No.: 2024-55
Date: May 13, 2024
Headline: SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers
Release No.: 2024-54
Date: May 10, 2024
Headline: SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities
Release No.: 2024-53
Date: May 3, 2024
Headline: SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusion
Release No.: 2024-52
Date: May 3, 2024
Headline: SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings
Release No.: 2024-51
Date: April 25, 2024
Headline: SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing
Release No.: 2024-50
Date: April 24, 2024
Headline: SEC Staff Publishes New Registered Fund Statistics Report
Release No.: 2024-49
Date: April 17, 2024
Headline: SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management
Release No.: 2024-48
Date: April 17, 2024
Headline: SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
Release No.: 2024-47
Date: April 12, 2024
Headline: SEC Charges Five Investment Advisers for Marketing Rule Violations
Release No.: 2024-46
Date: April 4, 2024
Headline: Register for the SEC’s 43rd Annual Small Business Forum April 16-18
Release No.: 2024-45
Date: April 3, 2024
Headline: SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
Release No.: 2024-44
Date: April 2, 2024
Headline: SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
Release No.: 2024-43
Date: March 27, 2024
Headline: SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
Release No.: 2024-42
Date: March 26, 2024
Headline: SEC Seeks Candidates for Investor Advisory Committee
Release No.: 2024-41
Date: March 26, 2024
Headline: SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
Release No.: 2024-40
Date: March 21, 2024
Headline: SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress
Release No.: 2024-39
Date: March 19, 2024
Headline: SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College
Release No.: 2024-38
Date: March 19, 2024
Headline: Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges
Release No.: 2024-37
Date: March 18, 2024
Headline: SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
Release No.: 2024-36
Date: March 14, 2024
Headline: SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community
Release No.: 2024-35
Date: March 12, 2024
Headline: SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition
Release No.: 2024-34
Date: March 7, 2024
Headline: SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members
Release No.: 2024-33
Date: March 6, 2024
Headline: SEC Adopts Amendments to Enhance Disclosure of Order Execution Information
Release No.: 2024-32
Date: March 6, 2024
Headline: SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
Release No.: 2024-31
Date: March 1, 2024
Headline: SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid
Release No.: 2024-30
Date: Feb. 29, 2024
Headline: SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle
Release No.: 2024-29
Date: Feb. 29, 2024
Headline: SEC Investor Advisory Committee to Discuss Proposals to Improve Equity Market Structure and Examine the Use of Materiality as a Disclosure Standard
Release No.: 2024-28
Date: Feb. 28, 2024
Headline: SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management
Release No.: 2024-27
Date: Feb. 27, 2024
Headline: SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media
Release No.: 2024-26
Date: Feb. 22, 2024
Headline: SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel
Release No.: 2024-25
Date: Feb. 22, 2024
Headline: SEC Charges Husband of Energy Company Manager with Insider Trading
Release No.: 2024-24
Date: Feb. 16, 2024
Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market
Release No.: 2024-23
Date: Feb. 16, 2024
Headline: SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers
Release No.: 2024-22
Date: Feb. 16, 2024
Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Release No.: 2024-21
Date: Feb. 16, 2024
Headline: SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch
Release No.: 2024-20