SEC-PR-2024-20 (FEB. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-20 Download: SEC-PR-2024-20 ⊗ (PDF) PRESS RELEASE | 2024-20 SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch. Washington D.C., Feb. 16, 2024 — The Securities and Exchange Commission today announced that registered investment adviser Van Eck Associates Corporation has agreed to pay […]
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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-2024-23 (FEB. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-23 Download: SEC-PR-2024-23 ⊗ (PDF) PRESS RELEASE | 2024-23 SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market Washington D.C., Feb. 16, 2024 — The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee ⊗ today released the agenda ⊗ for […]
SEC-PR-2024-21 (FEB. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-21 Download: SEC-PR-2024-21 (PDF) PRESS RELEASE | 2024-21 Securities and Exchange Commission Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations. Washington D.C., Feb. 16, 2024 — The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report ⊗ to Congress today on Nationally Recognized Statistical Rating […]
SEC-PR-2024-19 (FEB. 14, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-19 Download: SEC-PR-2024-19 ⊗ (PDF) PRESS RELEASE | 2024-19 Securities and Exchange Commission Proposes Rule to Update Definition of Qualifying Venture Capital Funds. The proposal would inflation adjust the dollar threshold to be considered a qualifying venture capital fund. Washington D.C., Feb. 14, 2024 — The Securities and Exchange Commission […]
SEC-PR-2024-18 (FEB. 9, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-18 Download: SEC-PR-2024-18 ⊗ (PDF) PRESS RELEASE | 2024-18 Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures. The Huntington Investment Company self-reported and was ordered to pay lower civil penalties than other firms Washington D.C., Feb. 9, 2024 — The Securities and […]
SEC-PR-2024-17 (FEB. 8, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-17 Download: SEC-PR-2024-17 ⊗ (PDF) PRESS RELEASE | 2024-17 The Securities and Exchange Commission Adopts Amendments to Enhance Private Fund Reporting Washington D.C., Feb. 8, 2024 — The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, […]
SEC-PR-2024-16 (FEB. 7, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-16 Download: SEC-PR-2024-16 ⊗ (PDF) PRESS RELEASE | 2024-16 SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product. Florida-based company agrees to settle charge concerning interest feature on crypto asset accounts Washington D.C., Feb. 7, 2024 — The Securities and Exchange Commission today announced charges […]
SEC-PR-2024-15 (Feb. 6, 2024) SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud – Commission declines to impose civil penalties because of company’s self-reporting, cooperation and remediation The Securities and Exchange Commission today announced settled accounting fraud charges against Cloopen Group Holding Limited, a China-based provider of cloud communications products and services whose American […]
SEC-PR-2024-14 (FEB. 6, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-14 Download: SEC-PR-2024-14 ⊗ (PDF) PRESS RELEASE | 2024-14 SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” Washington D.C., Feb. 6, 2024 — The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in […]
SEC-PR-2024-13 (FEB. 2, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-13 Download: SEC-PR-2024-13 ⊗ (PDF) PRESS RELEASE | 2024-13 SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students. The defendant claimed his hedge fund would use sophisticated tools like artificial intelligence to generate returns. Washington D.C., Feb. 2, 2024 — The Securities and Exchange Commission […]