SEC-PR-2024-66 (MAY. 31, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-66 Download: SEC-PR-2024-66 ⊗ (PDF) PRESS RELEASE | 2024-66 SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock. Massachusetts resident liquidated his Getty Images stock holdings after sham offer to buy company drove up its stock price. Washington D.C., May 31, 2024 — […]
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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-2024-61 (MAY. 20, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-61 Download: SEC-PR-2024-61 ⊗ (PDF) PRESS RELEASE | 2024-61 SEC Issues Exemptive Order Providing Additional Time for Certain Registrants to File Quarterly Reports in Light of BF Borgers Permanent Suspension Washington D.C., May 20, 2024 — The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by […]
SEC-PR-2024-83 (JUL. 2, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-83 Download: SEC-PR-2024-83 ⊗ (PDF) PRESS RELEASE | 2024-83 SEC Updates Website to Improve Compliance, Functionality, and User Experience Washington D.C., July 2, 2024 — The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality. […]
SEC-PR-2024-81 (JUL. 1, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-81 Download: SEC-PR-2024-81 ⊗ (PDF) PRESS RELEASE | 2024-81 SEC Adopts Tailored Registration Form for Offerings of Registered Index-Linked and Registered Market-Value Adjustment Annuities Washington D.C., July 1, 2024 — The Securities and Exchange Commission today adopted tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs) […]
SEC-PR-2024-80 (JUL. 1, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-80 Download: SEC-PR-2024-80 ⊗ (PDF) PRESS RELEASE | 2024-80 SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program Washington D.C., July 1, 2024 — The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration ⊗ for both in-person and […]
SEC-PR-2024-82 (JUL. 1, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-82 Download: SEC-PR-2024-82 ⊗ (PDF) PRESS RELEASE | 2024-82 SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program. Former Chief Risk Officer and former CFO also charged for misleading investors. Washington D.C., July 1, 2024 — The Securities and Exchange Commission today charged Silvergate Capital Corporation, its […]
SEC-PR-2024-79 (JUN. 28, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-79 Download: SEC-PR-2024-79 ⊗ (PDF) PRESS RELEASE | 2024-79 SEC Charges Consensys Software for Unregistered Offers and Sales of Securities Through Its MetaMask Staking Service. Company Also Charged for Operating as an Unregistered Broker. Washington D.C., June 28, 2024 — The Securities and Exchange Commission today charged Consensys Software Inc. […]
SEC-PR-2024-78 (JUN. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-78 Download: SEC-PR-2024-78 ⊗ (PDF) PRESS RELEASE | 2024-78 SEC Office of the Investor Advocate Delivers Report to Congress on Objectives for Fiscal Year 2025 Washington D.C., June 27, 2024 — The Securities and Exchange Commission’s Office of the Investor Advocate ⊗ today delivered its Report to Congress ⊗ (PDF) on […]
SEC-PR-2024-77 (JUN. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-77 Download: SEC-PR-2024-77 ⊗ (PDF) PRESS RELEASE | 2024-77 SEC Charges Meta Materials and Former CEOs With Market Manipulation, Fraud and Other Violations Washington D.C., June 25, 2024 — The Securities and Exchange Commission today filed charges against Meta Materials Inc. and its former CEOs, John Brda and George Palikaras. […]
SEC-PR-2024-76 Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors Date: Jun. 18, 2024 Date Accessed: Aug.1, 2024 Source URL: https://www.sec.gov/newsroom/press-releases/2024-76 Categories: SEC ADVISORIES SEC-2406 UNREGISTERED ENTITIES PDF Notes: The PDF viewer below disables the links inside the PDF file. The PDF file may be downloaded if you wish. All links within […]