SEC-PR-2024-75 (JUN. 18, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-75 Download: SEC-PR-2024-75 ⊗ (PDF) PRESS RELEASE | 2024-75 SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations Washington D.C., June 18, 2024 — The Securities and Exchange Commission today announced that R.R. Donnelley & Sons Company (RRD), a global provider of business communication and marketing services, agreed […]
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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-2024-74 (JUN. 17, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-74 Download: SEC-PR-2024-74 ⊗ (PDF) PRESS RELEASE | 2024-74 SEC’s New Public Service Campaign Emphasizes Investor Protection Washington D.C., June 17, 2024 — The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its new public service campaign, which highlights investor protection and encourages investors to […]
SEC-PR-2024-73 (JUN. 13, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-73 Download: SEC-PR-2024-73 ⊗ (PDF) PRESS RELEASE | 2024-73 Terraform and Kwon to Pay $4.5 Billion Following Fraud Verdict. Kwon to contribute more than $200 million, Terraform to wind down, and assets to be distributed to investor victims and creditors in bankruptcy. Washington D.C., June 13, 2024 — The Securities […]
SEC-PR-2024-72 (JUN. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-72 Download: SEC-PR-2024-72 ⊗ (PDF) PRESS RELEASE | 2024-72 SEC Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors Washington D.C., June 12, 2024 — The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection […]
SEC-PR-2024-70 (JUN. 11, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-70 Download: SEC-PR-2024-70 ⊗ (PDF) PRESS RELEASE | 2024-70 Securities and Exchange Commission Charges Founder of AI Hiring Startup Joonko with Fraud Washington D.C., June 11, 2024 — The Securities and Exchange Commission today charged Ilit Raz, CEO and founder of the now-shuttered artificial intelligence recruitment startup Joonko, with defrauding […]
SEC-PR-2024-71 (JUN. 11, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-71 Download: SEC-PR-2024-71 ⊗ (PDF) PRESS RELEASE | 2024-71 Securities and Exchange Commission Appoints Erica Y. Williams to a Second Term as PCAOB Chairperson Washington D.C., June 11, 2024 — The Securities and Exchange Commission today announced the appointment of Erica Y. Williams to a second term as Chairperson of […]
SEC-PR-2024-69 (JUN. 7, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-69 Download: SEC-PR-2024-69 ⊗ (PDF) PRESS RELEASE | 2024-69 SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes. After Commission shut down original ploy, defendants started another one. Washington D.C., June 7, 2024 — The Securities and Exchange Commission today charged three individuals with […]
SEC-PR-2024-68 (JUN. 5, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-68 Download: SEC-PR-2024-68 ⊗ (PDF) PRESS RELEASE | 2024-68 Securities and Exchange Commission Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and Practices Washington D.C., June 5, 2024 — The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. Engaging in a […]
SEC-PR-2024-67 (JUN. 4, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-67 Download: SEC-PR-2024-67 ⊗ (PDF) PRESS RELEASE | 2024-67 Securities and Exchange Commission to Close Salt Lake Regional Office Washington D.C., June 4, 2024 — The Securities and Exchange Commission today announced that it will close its Salt Lake Regional Office (SLRO) later this year, reducing its regional footprint from […]
SEC-PR-2024-65 (MAY. 31, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-65 Download: SEC-PR-2024-65 ⊗ (PDF) PRESS RELEASE | 2024-65 SEC Investor Advisory Committee to Examine the New Frontier for Investment Advice and Discuss AI Regulation at June 6 Meeting Washington D.C., May 31, 2024 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June […]