SEC-PR-2024-57 (MAY. 15, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-57 Download: SEC-PR-2024-57 ⊗ (PDF) PRESS RELEASE | 2024-57 Securities and Exchange Commission Staff Publishes New Investment Adviser Statistics Report. Washington D.C., May 15, 2024 — The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed […]
Category: SEC-2405
Securities and Exchange Commission (SEC)
May 2024 Press Releases
SEC-PR-2024-55 (MAY. 14, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-55 Download: SEC-PR-2024-55 ⊗ (PDF) PRESS RELEASE | 2024-55 SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest. Firm owner received undisclosed fee for investing clients’ money in films. Washington D.C., May 14, 2024 — The Securities and Exchange Commission today announced […]
SEC-PR-2024-54 (MAY. 13, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-54 Download: SEC-PR-2024-54 ⊗ (PDF) PRESS RELEASE | 2024-54 SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers Washington D.C., May 13, 2024 — Today the Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed […]
SEC-PR-2024-53 (MAY. 10, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-53 Download: SEC-PR-2024-53 ⊗ (PDF) PRESS RELEASE | 2024-53 SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities Washington D.C., May 10, 2024 — The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. Poerio, Jr. with insider trading for misappropriating material, nonpublic information concerning […]
SEC-PR-2024-51 (MAY. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-51 Download: SEC-PR-2024-51 ⊗ (PDF) PRESS RELEASE | 2024-51 SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings Washington D.C., May 3, 2024 — The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin […]
SEC-PR-2024-52 (MAY. 3, 2024) Source: https://www.sec.gov/newsroom/press-releases/2024-52 Download: SEC-PR-2024-52 ⊗ (PDF) PRESS RELEASE | 2024-52 SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusion Washington D.C., May 3, 2024 — The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has been appointed the Director of the Office of […]