SEC-PR-2024-27 (FEB. 27, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-27 Download: SEC-PR-2024-27 ⊗ (PDF) PRESS RELEASE | 2024-27 SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management Washington D.C., Feb. 28, 2024 — The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, […]
Category: SEC-2402
Securities and Exchange Commission (SEC)
February 2024 Press Releases
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 […]
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 […]
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 […]