SEC-PR-2024-12 (FEB. 2, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-12 Download: SEC-PR-2024-12 ⊗ (PDF) PRESS RELEASE | 2024-12 SEC to Host Law School Summit Highlighting Need for Investor Access to Legal Counsel Washington D.C., Feb. 2, 2024 — The U.S. Securities and Exchange Commission today announced the date of its 2024 Investor Advocacy Clinic Summit, where law students and […]
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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-2024-11 (JAN. 29, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-11 Download: SEC-PR-2024-11 ⊗ (PDF) PRESS RELEASE | 2024-11 SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud. Promoter Brenda Chunga (aka Bitcoin Beautee) agrees to settle fraud and unregistered offering charges. Washington D.C., Jan. 29, 2024 — The Securities and Exchange Commission today […]
SEC-PR-2024-10 (JAN. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-10 Download: SEC-PR-2024-10 ⊗ (PDF) PRESS RELEASE | 2024-10 SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures Washington D.C., Jan. 25, 2024 — The Securities and Exchange Commission today announced that Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), agreed to settle charges […]
SEC-PR-2024-09 (JAN. 25, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-9 Download: SEC-PR-2024-09 ⊗ (PDF) PRESS RELEASE | 2024-9 SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund. Washington D.C., Jan. 25, 2024 — The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and […]
SEC-PR-2024-08 (JAN. 24, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-8 Download: SEC-PR-2024-08 ⊗ (PDF) PRESS RELEASE | 2024-8 SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Washington D.C., Jan. 24, 2024 — The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in […]
SEC-PR-2024-07 (JAN. 16, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-7 Download SEC-PR-2024-07 ⊗ (PDF) PRESS RELEASE | 2024-7 J.P. Morgan to Pay $18 Million for Violating Whistleblower Protection Rule. The Firm’s confidential agreements impeded clients from communicating with the SEC. Washington D.C., Jan. 16, 2024 — The Securities and Exchange Commission today announced settled charges against J.P. Morgan Securities […]
SEC-PR-2024-06 (JAN. 12, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-6 Download: SEC-PR-2024-06 (PDF) PRESS RELEASE | 2024-6 SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business. The Firm agrees to pay more than $249 million to settle fraud charges and for failing to enforce information barriers. Washington D.C., Jan. 12, 2024 — The Securities […]
SEC-PR-2024-05 (JAN. 11, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-5 Download: SEC-PR-2024-05 ⊗ (PDF) PRESS RELEASE | 2024-5 SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures. Washington D.C., Jan. 11, 2024 — The Securities and Exchange Commission today charged Shanchun Huang with manipulative trading in the stock of Future FinTech Group Inc., using an offshore […]
SEC-PR-2024-04 (JAN. 10, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-4 Download: SEC-PR-2024-04 ⊗ (PDF) PRESS RELEASE | 2024-4 SEC Charges Global Software Company SAP for FCPA Violations. German multinational agrees to monetary sanctions of nearly $100 million to settle SEC’s bribery charges. Washington D.C., Jan. 10, 2024 — The Securities and Exchange Commission today announced charges against global software […]
SEC-PR-2024-03 (JAN. 5, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-3 Download: SEC-PR-2024-03 (PDF) PRESS RELEASE | 2024-3 Securities and Exchange Commission Appoints Stacey Bowers as Small Business Advocate Washington D.C., Jan. 5, 2024 — The Securities and Exchange Commission today announced that University of Denver law professor Stacey Bowers has been named the new director of the SEC’s Office of […]