Press Releases

Official announcements highlighting recent actions taken by the SEC and other newsworthy information.  To view Press Releases prior to 2012, view the Press Release Archive.

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Date Headline Release No.
SEC Issues Exemptive Order Providing Additional Time for Certain Registrants to File Quarterly Reports in Light of BF Borgers Permanent Suspension 2024-61
SEC Announces Departure of Policy Director Heather Slavkin Corzo and Appointment of Corey Klemmer to the Role 2024-60
Tina Diamantopoulos Named Regional Director of Chicago Office 2024-59
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information 2024-58
SEC Staff Publishes New Investment Adviser Statistics Report 2024-57
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee 2024-56
SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest 2024-55
SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers 2024-54
SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities 2024-53
SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusion 2024-52
SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings 2024-51
SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing 2024-50
SEC Staff Publishes New Registered Fund Statistics Report 2024-49
SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management 2024-48
SEC Issues Second Fee Rate Advisory for Fiscal Year 2024 2024-47
SEC Charges Five Investment Advisers for Marketing Rule Violations 2024-46
Register for the SEC’s 43rd Annual Small Business Forum April 16-18 2024-45
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures 2024-44
SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month 2024-43
SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet 2024-42
SEC Seeks Candidates for Investor Advisory Committee 2024-41
SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading 2024-40
SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress 2024-39
SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College 2024-38
Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges 2024-37
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