SEC-PAUSE-PROGRAM SEC PAUSE Program (Public Alert: Unregistered Soliciting Entities) identifies firms and individuals impersonating legitimate entities or promoting investment scams without proper registration. Date: Aug. 13, 2024 Date Accessed: Aug. 13, 2024 Source URL: https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities Categories: SEC-2408 UNREGISTERED ENTITIES PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be […]
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The Securities and Exchange Commission is a U.S. federal regulatory agency responsible for overseeing and enforcing federal securities laws, which aim to protect investors, maintain fair and efficient markets, and facilitate capital formation. Established in 1934, the SEC regulates the securities industry, including stock exchanges, brokerage firms, and investment advisors, ensuring transparency and integrity in financial reporting and trading practices. It oversees public company disclosures, addresses securities fraud, and works to ensure that market participants adhere to legal and ethical standards, thereby fostering investor confidence and market stability.
The SEC PAUSE (Public Alert: Unregistered Soliciting Entities) is a program launched by the SEC to alert investors about firms or individuals that are operating without proper registration and soliciting investments in a potentially fraudulent manner. The PAUSE list highlights entities that are not registered with the SEC or relevant regulatory bodies but are still engaging in securities-related activities or investment solicitations. By providing this alert, the SEC aims to protect investors from potential scams, ensure transparency in the financial markets, and discourage unregistered and potentially unlawful practices. The PAUSE program serves as a critical tool for raising awareness and fostering due diligence among investors.
SEC-PR-2024-90 (JUL. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-90 Download: SEC-PR-2024-90 ⊗ (PDF) PRESS RELEASE | SEC-PR-2024-90 Securities and Exchange Commission Awards Whistleblower More Than $37 Million Washington D.C., July 26, 2024 — The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful […]
SEC-PR-2024-89 (JUL. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-89 Download: SEC-PR-2024-89 ⊗ (PDF) PRESS RELEASE | SEC-PR-2024-89 SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme. Boca Raton short seller used ‘bait-and-switch’ tactics to mislead investors Washington D.C., July 26, 2024 — The Securities and Exchange Commission today announced charges against activist short seller Andrew […]
SEC-PR-2024-88 (JUL. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-88 Download: SEC-PR-2024-88 ⊗ (PDF) PRESS RELEASE | SEC-PR-2024-88 Securities and Exchange Commission Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud Washington D.C., July 25, 2024 — The Securities and Exchange Commission today charged Babu Ramaraj, a resident of Aldie, Virginia, with defrauding more than 70 investors of approximately […]
SEC-PR-2024-87 (JUL. 22, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-87 Download: SEC-PR-2024-87 ⊗ (PDF) PRESS RELEASE | 2024-87 Keith E. Cassidy Named Interim Acting Director of the Division of Examinations Washington D.C., July 22, 2024 — In response to a previously announced ⊗ medical issue, the Securities and Exchange Commission today announced that Richard Best, the Director of the Division […]
SEC-PR-2024-86 (JUL. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-86 Download: SEC-PR-2024-86 ⊗ (PDF) PRESS RELEASE | 2024-86 SEC Launches Interagency Securities Council to Coordinate Enforcement Efforts Across Federal, State, and Local Agencies Washington D.C., July 19, 2024 — The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, […]
SEC-PR-2024-56 (MAY. 14, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-56 Download: SEC-PR-2024-56 ⊗ (PDF) PRESS RELEASE | 2024-56 SEC Seeks Candidates for Small Business Capital Formation Advisory Committee. Washington D.C., May 14, 2024 — The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee ⊗, which provides […]
SEC-PR-2024-27 (FEB. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-27 Download: SEC-PR-2024-27 ⊗ (PDF) PRESS RELEASE | 2024-27 SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management Washington D.C., Feb. 28, 2024 — The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, […]
SEC-PR-2024-85 (JUL. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-85 Download: SEC-PR-2024-85 ⊗ (PDF) PRESS RELEASE | 2024-85 Securities and Exchange Commission Awards More Than $37 Million to a Whistleblower Washington D.C., July 17, 2024 — The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower who provided information not previously known […]
SEC-PR-2024-84 (JUL. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-84 Download: SEC-PR-2024-84 ⊗ (PDF) PRESS RELEASE | 2024-84 SEC Small Business Advisory Committee to Explore Recent Changes to U.S. Small Business Administration’s Small Business Investment Company Program Washington D.C., July 12, 2024 — The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, […]