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 […]
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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-2024-54 (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 […]
SEC-PR-2024-51 (MAY. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-51 Download: SEC-PR-2024-51 ⊗ (PDF) PRESS RELEASE | 2024-51 SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings Washington D.C., May 3, 2024 — The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin […]
SEC-PR-2024-52 (MAY. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-52 Download: SEC-PR-2024-52 ⊗ (PDF) PRESS RELEASE | 2024-52 SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusion Washington D.C., May 3, 2024 — The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has been appointed the Director of the Office of […]
SEC-PR-2024-50 (APR. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-50 Download: SEC-PR-2024-50 ⊗ (PDF) PRESS RELEASE | 2024-50 SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing. Washington D.C., April 25, 2024 — The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee ⊗ today released the agenda ⊗ for its meeting on […]
SEC-PR-2024-49 (APR. 24, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-49 Download: SEC-PR-2024-49 ⊗ (PDF) PRESS RELEASE | 2024-49 SEC Staff Publishes New Registered Fund Statistics Report Washington D.C., April 24, 2024 — The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on […]
SEC-PR-2024-48 (APR. 17, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-48 Download: SEC-PR-2024-48 ⊗ (PDF) PRESS RELEASE | 2024-48 SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management Washington D.C., April 17, 2024 — The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference […]
SEC-PR-2024-47 (APR. 17, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-47 Download: SEC-PR-2024-47 ⊗ (PDF) PRESS RELEASE | 2024-47 Securities and Exchange Commission Issues Second Fee Rate Advisory for Fiscal Year 2024 Washington D.C., April 17, 2024 — The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will […]
SEC-PR-2024-46 (APR. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-46 Download: SEC-PR-2024-46 ⊗ (PDF) PRESS RELEASE | 2024-46 SEC Charges Five Investment Advisers for Marketing Rule Violations Washington D.C., April 12, 2024 — The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the […]