SEC-PR-2024-35 (MAR. 14, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-35 Download: SEC-PR-2024-35 (PDF) PRESS RELEASE | 2024-35 SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community. Washington D.C., March 14, 2024 — The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, […]
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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-2024-34 (MAR. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-34 Download: SEC-PR-2024-34 (PDF) PRESS RELEASE | 2024-34 SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition Washington D.C., March 12, 2024 — The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board […]
SEC-PR-2024-33 (MAR. 7, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-33 Download: SEC-PR-2024-33 (PDF) PRESS RELEASE | 2024-33 SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members. Company also charged with failing to disclose outstanding loans to its executives. Washington D.C., March 7, 2024 — The Securities and Exchange Commission today announced that Skechers U.S.A. Inc., a footwear […]
SEC-PR-2024-32 (MAR. 6, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-32 Download: SEC-PR-2024-32 (PDF) PRESS RELEASE | 2024-32 SEC Adopts Amendments to Enhance Disclosure of Order Execution Information Washington D.C., March 6, 2024 — The Securities and Exchange Commission today adopted rule amendments that update the disclosure required under Rule 605 of Regulation NMS for order executions in national market […]
SEC-PR-2024-31 (MAR. 6, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-31 Download: SEC-PR-2024-31 (PDF) PRESS RELEASE | 2024-31 SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors Washington D.C., March 6, 2024 — The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. The final rules reflect […]
SEC-PR-2024-30 (MAR. 1, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-30 Download: SEC-PR-2024-30 (PDF) PRESS RELEASE | 2024-30 SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid. Washington D.C., March 1, 2024 — The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure […]
SEC-PR-2024-28 (FEB. 29, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-28 Download: SEC-PR-2024-28 (PDF) PRESS RELEASE | 2024-28 SEC Investor Advisory Committee to Discuss Proposals to Improve Equity Market Structure and Examine the Use of Materiality as a Disclosure Standard Washington D.C., Feb. 29, 2024 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March […]
SEC-PR-2024-26 (FEB. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-26 Download: SEC-PR-2024-26 ⊗ (PDF) PRESS RELEASE | 2024-26 SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media Washington D.C., Feb. 27, 2024 — The Securities and Exchange Commission today charged Paul A. Pereira, the former CEO and co-founder of Alfi, Inc., with […]
SEC-PR-2024-24 (FEB. 22, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-24 Download: SEC-PR-2024-24 ⊗ (PDF) PRESS RELEASE | 2024-24 SEC Charges Husband of Energy Company Manager with Insider Trading. Spouse purchased stock using non-public information about the planned merger. Washington D.C., Feb. 22, 2024 — The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading […]
SEC-PR-2024-22 (FEB. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-22 Download: SEC-PR-2024-22 ⊗ (PDF) PRESS RELEASE | 2024-22 Securities and Exchange Commission Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers. Broker-dealer to pay more than $2.2 million for violating Reg BI. Washington D.C., Feb. 16, 2024 — The Securities and Exchange Commission today […]