SEC-PR-2024-02 (JAN. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-2 Download: SEC-PR-2024-000 ⊗ (PDF) PRESS RELEASE | 2024-2 SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief Washington D.C., Jan. 3, 2024 — The Securities and Exchange Commission today announced that it obtained an asset freeze and other emergency relief […]
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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-2024-01 (JAN. 3, 2024) Source: sec.gov/newsroom/press-releases/2024-1 Download: SEC-PR-2024-01 (PDF) PRESS RELEASE | 2024-1 Mark Uyeda Sworn in for Second Term as SEC Commissioner Washington D.C., Jan. 3, 2024 — Securities and Exchange Commission Commissioner Mark T. Uyeda was sworn in for his second term as a Commissioner at the Securities and Exchange Commission on Dec. 28, 2023. […]