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SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discuss...
SEC Staff Publishes New Registered Fund Statistics Report
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. ...
SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May...
SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Conseque...
SEC Charges Five Investment Advisers for Marketing Rule Violations
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s ...
Register for the SEC’s 43rd Annual Small Business Forum April 16-18
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Format...
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certa...
SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “What does your ...
SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”)....
SEC Seeks Candidates for Investor Advisory Committee
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. The Committee wa...
SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company ...
SEC’s OMWI FY 2023 Annual Report Highlights the Agency’..., Equity, Inclusion and Accessibility Initiatives and Progress
As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) pub...
SEC, NASAA, and Georgia Secretary of State to Host Investor...tables at University of North Georgia and Dalton State College
The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia Secretary of State, the University of North ...
Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges
The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injuncti...
SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false and misleading statements ...
SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community
The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based CryptoFX LLC and targeted more than 40,000 pr...
SEC Charges Tallgrass Energy’s Former Board Member Roy Co...hers with Insider Trading in Advance of Blackstone Acquisition
The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonp...
SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members
The Securities and Exchange Commission today announced that Skechers U.S.A. Inc., a footwear company based in California, agreed to settle charges for failing to disclose payments for the benefit...
SEC Adopts Amendments to Enhance Disclosure of Order Execution Information
The Securities and Exchange Commission today adopted rule amendments that update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks (NM...
SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. The final rules reflect the Commissi...
SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosure...
SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle
The Securities and Exchange Commission today charged Lordstown Motors Corp. with misleading investors about the sales prospects of Lordstown’s flagship electric pickup truck, the Endurance. Lor...
SEC Investor Advisory Committee to Discuss Proposals to Imp...re and Examine the Use of Materiality as a Disclosure Standard
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March 7 at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be web...
SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management
The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, will depart the agency, effective March 8, 2024. Natasha Vi...
SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media
The Securities and Exchange Commission today charged Paul A. Pereira, the former CEO and co-founder of Alfi, Inc., with making materially false and misleading statements on social media about the...