SEC-PR-2024-64 (MAY. 29, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-64 Download: SEC-PR-2024-64 ⊗ (PDF) PRESS RELEASE | 2024-64 SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts Washington D.C., May 29, 2024 — The Securities and Exchange Commission today instituted settled proceedings against formerly registered investment adviser Mass Ave […]
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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-2024-63 (MAY. 22, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-63 Download: SEC-PR-2024-63 ⊗ (PDF) PRESS RELEASE | 2024-63 SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange With Failing to Inform the Commission of a Cyber Intrusion Washington D.C., May 22, 2024 — The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. […]
SEC-PR-2024-62 (MAY. 21, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-62 Download: SEC-PR-2024-62 ⊗ (PDF) PRESS RELEASE | 2024-62 Securities and Exchange Commission Chair Gensler Statement on Upcoming Implementation of T+1 Settlement Cycle. Washington D.C., May 21, 2024 — Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to […]
SEC-PR-2024-60 (MAY. 17, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-60 Download: SEC-PR-2024-60 ⊗ (PDF) PRESS RELEASE | 2024-60 SEC Announces Departure of Policy Director Heather Slavkin Corzo and Appointment of Corey Klemmer to the Role Washington D.C., May 17, 2024 — The Securities and Exchange Commission today announced that Policy Director Heather Slavkin Corzo will leave the agency. Corey […]
SEC-PR-2024-59 (MAY. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-59 Download: SEC-PR-2024-59 ⊗ (PDF) PRESS RELEASE | 2024-59 Tina Diamantopoulos Named Regional Director of Chicago Office Washington D.C., May 16, 2024 — The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. Ms. Diamantopoulos is […]
SEC-PR-2024-58 (MAY. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-58 Download: SEC-PR-2024-58 ⊗ (PDF) PRESS RELEASE | 2024-58 Securities and Exchange Commission Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information Washington D.C., May 16, 2024 — The Securities and Exchange Commission today announced the adoption of amendments to Regulation S-P to modernize and enhance the […]
SEC-PR-2024-57 (MAY. 15, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-57 Download: SEC-PR-2024-57 ⊗ (PDF) PRESS RELEASE | 2024-57 Securities and Exchange Commission Staff Publishes New Investment Adviser Statistics Report. Washington D.C., May 15, 2024 — The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed […]
SEC-PR-2024-55 (MAY. 14, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-55 Download: SEC-PR-2024-55 ⊗ (PDF) PRESS RELEASE | 2024-55 SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest. Firm owner received undisclosed fee for investing clients’ money in films. Washington D.C., May 14, 2024 — The Securities and Exchange Commission today announced […]
SEC-PR-2024-54 (MAY. 13, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-54 Download: SEC-PR-2024-54 ⊗ (PDF) PRESS RELEASE | 2024-54 SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers Washington D.C., May 13, 2024 — Today the Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed […]
SEC-PR-2024-53 (MAY. 10, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-53 Download: SEC-PR-2024-53 ⊗ (PDF) PRESS RELEASE | 2024-53 SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities Washington D.C., May 10, 2024 — The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. Poerio, Jr. with insider trading for misappropriating material, nonpublic information concerning […]