Category: SEC-2405

Securities and Exchange Commission

May 2024 Press Releases

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-2024-65

File ID:  SEC-PR-2024-65 Date:  May 31, 2024 Accessed:  July 10, 2024 Headline: SEC Investor Advisory Committee to Examine the New Frontier for Investment Advice and Discuss AI Regulation at June 6 Meeting Source:  https://www.sec.gov/newsroom/press-releases/2024-65 Categories: INVESTMENT ADVISORS SEC ADVISORY COMMITTEE AI REGULATION SEC-PR-2024-64 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-64

File ID:  SEC-PR-2024-64 Date:  May 29, 2024 Accessed:  July 10, 2024 Headline:  SEC Charges Advisory Firm Mass Ave Global and Co-Founder and CEO Winston Feng with False Statements and Undisclosed Conflicts Source:  https://www.sec.gov/newsroom/press-releases/2024-64 Categories: INVESTMENT ADVISORS MAKING FALSE STATEMENTS MISLEADING INVESTORS SEC-PR-2024-64 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-63

File ID:  SEC-PR-2024-63 Date:  May 22, 2024 Accessed:  July 10, 2024 Headline:  SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange With Failing to Inform the Commission of a Cyber Intrusion. Source:  https://www.sec.gov/newsroom/press-releases/2024-63 Categories: CYBER INTRUSION FAILURE TO REPORT CYBER INTRUSIONS SEC-PR-2024-63 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-62

File ID:  SEC-PR-2024-62 Date:  May 21, 2024 Accessed:  July 10, 2024 Headline:  Securities and Exchange Commission Chair Gensler Statement on Upcoming Implementation of T+1 Settlement Cycle. Source:  https://www.sec.gov/newsroom/press-releases/2024-62 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES T+1 SETTLEMENT CYCLE SEC-PR-2024-62 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-58

File ID:  SEC-PR-2024-58 Date:  May 16, 2024 Accessed:  July 9, 2024 Headline:  Securities and Exchange Commission Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information Source:  https://www.sec.gov/news/press-release/2024-58 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES REGULATION S-P SEC-PR-2024-58 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-57

File ID:  SEC-PR-2024-57 Date:  May 15, 2024 Accessed:  July 9, 2024 Headline:  Securities and Exchange Commission Staff Publishes New Investment Adviser Statistics Report. Source:  https://www.sec.gov/newsroom/press-releases/2024-57 Categories: AGENCY REPORTS SEC REPORTS INVESTMENT ADVISORS SEC-PR-2024-57 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-55

File ID:  SEC-PR-2024-55 Date:  May 14, 2024 Accessed:  July 9, 2024 Headline:  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. Source:  https://www.sec.gov/newsroom/press-releases/2024-55 Categories: INVESTMENT ADVISORS DISCLOSURE FAILURES SEC-PR-2024-55 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-54

File ID:  SEC-PR-2024-54 Date:  May 13, 2024 Accessed:  July 9, 2024 Headline:  SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers.(U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN)) Source:  https://www.sec.gov/newsroom/press-releases/2024-54 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES INVESTMENT ADVISORS SEC-PR-2024-54 – Viewer: ▼▼▼ (Download PDF File )