Category: (SEC)

Securities and Exchange Commission
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The Securities and Exchange Commission (SEC) is a federal agency in the United States responsible for regulating and overseeing the securities industry, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Established in 1934 as part of the New Deal reforms, the SEC’s primary mission is to protect investors, maintain fair and efficient markets, and facilitate capital formation. It achieves these goals through enforcement of securities laws, such as the Securities Act of 1933 and the Securities Exchange Act of 1934, which require transparency in financial markets and disclosure of material information to investors. The SEC also sets and enforces regulations to prevent fraud and market manipulation, conducts investigations into potential violations of securities laws, and provides education and guidance to investors and market participants. By promoting fairness, transparency, and investor confidence, the SEC plays a crucial role in the stability and integrity of the U.S. financial system.

SEC-PR-2024-58

File ID: SEC-PR-2024-58 Date: May 16, 2024 Accessed: June 21, 2024 Source: https://www.sec.gov/news/press-release/2024-58 PDF: Download (Links work in this file) Categories: AGENCY RULES-CHANGES REGULATION S-P Excerpt: SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information FOR IMMEDIATE RELEASE 2024-58 Washington D.C., May 16, 2024 — The Securities and Exchange Commission […]

SEC-PR-2024-24

File ID: SEC-PR-2024-24 Date: February 22, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-24 PDF: Download (Links work in this file) Categories: INSIDER TRADING Excerpt: SEC Charges Husband of Energy Company Manager with Insider Trading. Spouse purchased stock using non-public information about planned merger. FOR IMMEDIATE RELEASE 2024-24 Washington D.C., Feb. 22, 2024 — The […]

SEC-PR-2024-22

File ID: SEC-PR-2024-22 Date: February 16, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-22 PDF: Download (Links work in this file) Categories: REGULATION BEST INTEREST (REG BI) Excerpt: 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 FOR […]

SEC-PR-2024-20

File ID: SEC-PR-2024-20 Date: February 16, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-20 PDF: Download (Links work in this file) Categories: DISCLOSURE FAILURES ETF LAUNCH Excerpt: SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch FOR IMMEDIATE RELEASE 2024-20 Washington D.C., Feb. 16, 2024 — The Securities […]

SEC-PR-2024-19

File ID: SEC-PR-2024-19 Date: February 14, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-19 PDF: Download (Links work in this file) Categories: AGENCY RULES-CHANGES Excerpt: 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. FOR IMMEDIATE RELEASE 2024-19 […]

SEC-PR-2024-18

File ID: SEC-PR-2024-18 Date: February 9, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-18 PDF: Download (Links work in this file) Categories: RECORDKEEPING FAILURES PRESERVING ELECTRONIC COMMUNICATIONS Excerpt: 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 […]

SEC-PR-2024-17

File ID: SEC-PR-2024-17 Date: February 8, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-17 PDF: Download (Links work in this file) Categories: AGENCY RULES-CHANGES FORM PF Excerpt: SEC Adopts Amendments to Enhance Private Fund Reporting FOR IMMEDIATE RELEASE 2024-17 Washington D.C., Feb. 8, 2024 — The Securities and Exchange Commission today adopted amendments to Form […]

SEC-PR-2024-16

File ID: SEC-PR-2024-16 Date: February 7, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-16 PDF: Download (Links work in this file) Categories: UNREGISTERED OFFERINGS Excerpt: 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. FOR IMMEDIATE RELEASE […]

SEC-PR-2024-15

File ID: SEC-PR-2024-15 Date: February 6, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-15 PDF: Download (Links work in this file) Categories: ACCOUNTING FRAUD Excerpt: 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 FOR IMMEDIATE RELEASE 2024-15 Washington D.C., Feb. […]

SEC-PR-2024-14

File ID: SEC-PR-2024-14 Date: February 6, 2024 Accessed: June 23, 2024 Source: https://www.sec.gov/news/press-release/2024-14 PDF: Download (Links work in this file) Categories: AGENCY RULES-CHANGES Excerpt: SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” FOR IMMEDIATE RELEASE 2024-14 Washington D.C., Feb. 6, 2024 — The Securities and Exchange Commission […]