Category: SEC-2402

Securities and Exchange Commission

February 2024 Press Releases

SEC-PR-2024-22

File ID: SEC-PR-2024-22 Date: February 16, 2024 Accessed: July 2, 2024 Headline:  SEC 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. Source: https://www.sec.gov/news/press-release/2024-22 Categories: REGULATION BEST INTEREST (REG BI) SEC-PR-2024-22 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-19

File ID: SEC-PR-2024-19 Date: February 14, 2024 Accessed: July 2, 2024 Headline:  SEC Proposes Rule to Update Definition of Qualifying Venture Capital Funds. Proposal would inflation adjust the dollar threshold to be considered a qualifying venture capital fund. Source: https://www.sec.gov/news/press-release/2024-19 Categories: SEC RULES-CHANGES SEC-PR-2024-19 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-18

File ID: SEC-PR-2024-18 Date: February 9, 2024 Accessed: July 2, 2024 Headline:  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 penalty than other firms. Source: https://www.sec.gov/news/press-release/2024-18 Categories: RECORDKEEPING FAILURES PRESERVING ELECTRONIC COMMUNICATIONS SEC-PR-2024-18 – Viewer: […]

SEC-PR-2024-16

File ID: SEC-PR-2024-16 Date: February 7, 2024 Accessed: July 2, 2024 Headline:  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. Source: https://www.sec.gov/news/press-release/2024-16 Categories: UNREGISTERED OFFERINGS SEC-PR-2024-16 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-15

File ID: SEC-PR-2024-15 Date: February 6, 2024 Accessed: July 2, 2024 Headline:  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. Source: https://www.sec.gov/news/press-release/2024-15 Categories: ACCOUNTING FRAUD SEC-PR-2024-15 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-13

File ID: SEC-PR-2024-13 Date: February 2, 2024 Accessed: July 2, 2024 Headline:  SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students. Defendant claimed his hedge fund would use sophisticated tools like artificial intelligence to generate returns. Source: https://www.sec.gov/news/press-release/2024-13 Categories: AFFINITY FRAUD ONLINE TRADING COURSE FRAUD SEC-PR-2024-13 – Viewer: ▼▼▼ (Download […]