Category: (SEC)

U.S. Securities and Exchange Commission (SEC)
(Contact) (Privacy) (Tips-Questions-Complaints)
(Press Releases) (Federal Register)

The U.S. Securities and Exchange Commission is a federal agency responsible for protecting investors, maintaining fair and orderly functioning of securities markets, and facilitating capital formation. Established through the Securities Exchange Act of 1934, the SEC oversees the securities industry, enforcing regulations designed to promote transparency and prevent fraudulent activities in the issuance and trading of securities. The SEC regulates key participants including securities exchanges, brokers, investment advisers, and mutual funds, setting standards for disclosures, financial reporting, and corporate governance practices to ensure that investors have access to accurate and timely information. Through its enforcement actions, rulemaking, and investor education initiatives, the SEC aims to foster confidence in the financial markets and promote a fair marketplace for investors and businesses alike.

SEC-PR-2024-66

File ID:  SEC-PR-2024-66 Date:  May 31, 2024 Accessed:  July 11, 2024 Headline:  SEC Charges Robert Scott Murray and Trillium Capital with Fraudulent Scheme to Manipulate Getty Images Stock. Massachusetts resident liquidated his Getty Images stock holdings after sham offer to buy company drove up its stock price. Source:  https://www.sec.gov/newsroom/press-releases/2024-66 Categories: MANIPULATIVE TRADING SEC-PR-2024-66 – Viewer: […]

SEC-PR-2024-39

File ID:  SEC-PR-2024-39 Date:  March 21, 2024 Accessed:  July 3, 2024 Headline:  SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress. Source:  https://www.sec.gov/newsroom/press-releases/2024-39 Categories: AGENCY REPORTS SEC REPORTS SEC-PR-2024-39 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-74

File ID:  SEC-PR-2024-74 Date:  June 17, 2024 Accessed:  July 11, 2024 Headline:  Securities and Exchange Commission’s New Public Service Campaign Emphasizes Investor Protection Source:  https://www.sec.gov/newsroom/press-releases/2024-74 Categories: AGENCY ADVISORIES SEC ADVISORIES INVESTOR EDUCATION SEC-PR-2024-74 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-73

File ID:  SEC-PR-2024-73 Date:  June 13, 2024 Accessed:  July 11, 2024 Headline:  Terraform and Kwon to Pay $4.5 Billion Following Fraud Verdict. Kwon to contribute more than $200 million, Terraform to wind down, and assets to be distributed to investor victims and creditors in bankruptcy. Source:  https://www.sec.gov/newsroom/press-releases/2024-73 Categories: CRYPTO INVESTMENT FRAUD SEC-PR-2024-73 – Viewer: ▼▼▼ […]

SEC-PR-2024-72

File ID:  SEC-PR-2024-72 Date:  June 12, 2024 Accessed:  July 11, 2024 Headline:  Securities and Exchange Commission Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors Source:  https://www.sec.gov/newsroom/press-releases/2024-72 Categories: INVESTMENT ADVISORS INVESTMENT FUND FRAUD MAKING FALSE STATEMENTS MISLEADING INVESTORS SEC-PR-2024-72 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-70

File ID:  SEC-PR-2024-70 Date:  June 11, 2024 Accessed:  July 11, 2024 Headline:  Securities and Exchange Commission Charges Founder of AI Hiring Startup Joonko with Fraud Source:  https://www.sec.gov/newsroom/press-releases/2024-70 Categories: ARTIFICIAL INTELLIGENCE MAKING FALSE STATEMENTS MISLEADING INVESTORS SEC-PR-2024-70 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-69

File ID:  SEC-PR-2024-69 Date:  June 7, 2024 Accessed:  July 11, 2024 Headline:  SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud Schemes. After Commission shut down original ploy, defendants started another one. Source:  https://www.sec.gov/newsroom/press-releases/2024-69 Categories: MISREPRESENTATIONS IN IPO-RELATED DISCLOSURES SEC-PR-2024-69 – Viewer: ▼▼▼ (Download PDF File )