SEC-PR-2024-45 (APR. 4, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-45 Download: SEC-PR-2024-45 ⊗ (PDF) PRESS RELEASE | 2024-45 Register for the SEC’s 43rd Annual Small Business Forum April 16-18 Washington D.C., April 4, 2024 — The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation ⊗ will host the SEC’s 43rd Annual Government-Business Forum on Small […]
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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-2024-44 (APR. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-44 Download: SEC-PR-2024-44 ⊗ (PDF) PRESS RELEASE | 2024-44 SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Washington D.C., April 3, 2024 — The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve […]
SEC-PR-2024-43 (APR. 2, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-43 Download: SEC-PR-2024-43 ⊗ (PDF) PRESS RELEASE | 2024-43 SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month. Washington D.C., April 2, 2024 — The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability […]
SEC-PR-2024-42 (MAR. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-42 Download: SEC-PR-2024-42 ⊗ (PDF) PRESS RELEASE | 2024-42 SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Washington D.C., March 27, 2024 — The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet […]
SEC-PR-2024-40 (MAR. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-40 Download: SEC-PR-2024-40 ⊗ (PDF) PRESS RELEASE | 2024-40 SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading Washington D.C., March 26, 2024 — The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company […]
SEC-PR-2024-41 (MAR. 26, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-41 Download: SEC-PR-2024-41 ⊗ (PDF) PRESS RELEASE | 2024-41 SEC Seeks Candidates for Investor Advisory Committee Washington D.C., March 26, 2024 — The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee ⊗ to help protect investors and improve securities regulations. The Committee was established […]
SEC-PR-2024-39 (MAR. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-39 Download: SEC-PR-2024-39 ⊗ (PDF) PRESS RELEASE | 2024-39 SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress Washington D.C., March 21, 2024 — As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and […]
SEC-PR-2024-38 (MAR. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-38 Download: SEC-PR-2024-38 ⊗ (PDF) PRESS RELEASE | 2024-38 SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College Washington D.C., March 19, 2024 — The Securities and Exchange Commission today announced that it will join the North American Securities Administrators […]
SEC-PR-2024-37 (MAR. 19, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-37 Download: SEC-PR-2024-37 ⊗ (PDF) PRESS RELEASE | 2024-37 Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges Washington D.C., March 19, 2024 — The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million […]
SEC-PR-2024-36 (MAR. 18, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-36 Download: SEC-PR-2024-36 (PDF) PRESS RELEASE | 2024-36 SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence Washington D.C., March 18, 2024 — The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions […]