Category: UNCATEGORIZED

SEC-PR-2024-57

Release ID: SEC-PR-2024-57 Release Date: May 15, 2024 Source Access Date: May 21, 2024 Source : https://www.sec.gov/news/press-release/2024-57 Headline: Securities and Exchange Commission Staff Publishes New Investment Adviser Statistics Report Categories: Agency Reports Investment Advisors Related Materials: SEC Staff Report PDF SEC-PR-2024-57 (PDF): Please Contact  us if you find any non-working links on this page.

SEC-PR-2024-55

Release ID: SEC-PR-2024-55 Release Date: May 14, 2024 Source : https://www.sec.gov/news/press-release/2024-55 Source Access Date: May 21, 2024 Headline: SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest. Categories: Investment Advisors Disclosure Failures Respondents: Hudson Valley Wealth Management Inc. – SEC Order PDF Christopher Conover – SEC […]

SEC-PR-2024-54

Release ID: SEC-PR-2024-54 Release Date: May 13, 2024 Source : https://www.sec.gov/news/press-release/2024-54 Source Access Date: May 21, 2024 Headline: SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers Categories: Agency Rule Adoptions or Changes Investment Advisors Exempt Reporting Advisers Related Materials: SEC Rule Details SEC Fact Sheet PDF […]

SEC-PR-2024-53

Release ID: SEC-PR-2024-53 Release Date: May 10, 2024 Source : https://www.sec.gov/news/press-release/2024-53 Source Access Date: May 21, 2024 Headline: The Securities and Exchange Commission Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities Categories: Insider Trading Defendants: Frank T. Poerio, Jr. – SEC Complaint PDF Relevant Entities: Dick’s Sporting Goods Inc. SEC-PR-2024-53: Please Contact  us […]

SEC-PR-2024-51

Release ID:  SEC-PR-2024-51 Release Date:  May 3, 2024 Source Access Date:  June 2, 2024 Source:  https://www.sec.gov/news/press-release/2024-51 Headline: SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings SEC-PR-2024-51 (PDF): Please Contact  us if you find any non-working links on this page.

SEC-PR-2024-49

Release ID: SEC-PR-2024-49 Release Date: April 24, 2024 Source : https://www.sec.gov/news/press-release/2024-49 Source Access Date: April 24, 2024 Headline: SEC Staff Publishes New Registered Fund Statistics Report Related Documents: SEC Report PDF Education: The Laws That Govern the Securities Industry SEC-PR-2024-49:

SEC-PR-2024-36

Release ID: SEC-PR-2024-36 Release Date: March 18, 2024 Source : https://www.sec.gov/news/press-release/2024-36 Source Access Date: April 21, 2024 Headline: SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence Respondents: Delphia Inc. – SEC Order  PDF Global Predictions Inc. – SEC Order  PDF Education: Video – SEC Chair Gary Gensler on AI Washing […]

SEC-PR-2024-46

Release ID: SEC-PR-2024-46 Release Date: April 12, 2024 Source : https://www.sec.gov/news/press-release/2024-46 Source Access Date: April 21, 2024 Headline: SEC Charges Five Investment Advisers for Marketing Rule Violations Categories: Investment Advisors Marketing Rule Violations Respondents: GeaSphere LLC – SEC Order PDF Bradesco Global Advisors Inc. – SEC Order PDF Credicorp Capital Advisors LLC – SEC Order […]

SEC-PR-2024-44

Release ID: SEC-PR-2024-44 Release Date: April 3, 2024 Source : https://www.sec.gov/news/press-release/2024-44 Source Access Date: April 20, 2024 Headline: SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures Respondents: Senvest Management LLC – SEC Order PDF SEC-PR-2024-44: Please Contact  us if you find any non-working links on this page.