SEC-PR-2501 (Press Releases – January, 2025)
Date: January 1st through 31st (Press Releases 2025-1 through 2025-35)
Data Source: https://www.sec.gov/newsroom/press-releases?combine=&year=2025&month=1
January 30, 2025
- 2025-35 – SEC Small Business Advisory Committee to Continue Discussing Challenges Facing Emerging Fund Managers, and Explore Hurdles for Small Public Companies Not Listed on a National Securities Exchange
- 2025-34 – Acting Chairman Mark T. Uyeda Names Natalia Díez Riggin as Senior Advisor and Acting Director of Legislative and Intergovernmental Affairs
January 29, 2025
January 28, 2025
- 2025-32 – SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
January 24, 2025
January 21, 2025
- 2025-30 – SEC Crypto 2.0: Acting Chairman Uyeda Announces Formation of New Crypto Task Force
- 2025-29 – Mark T. Uyeda Named Acting Chairman of the SEC
January 17, 2025
- 2025-28 – SEC Announces Departure of Acting Enforcement Director Sanjay Wadhwa
- 2025-27 – SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering
- 2025-26 – SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025
- 2025-25 – SEC Announces Departure of Public Affairs Head Scott Schneider
- 2025-24 – SEC Policy Director Corey Klemmer to Step Down
- 2025-23 – SEC Announces Departure of Chief of Staff Amanda Fischer
- 2025-22 – SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition
- 2025-21 – Vanguard to Pay More Than $100 Million to Resolve Violations Related to Target Date Retirement Funds
- 2025-20 – SEC Charges Pennsylvania Investment Adviser Scott Mason With Misappropriating More Than $20 Million from Advisory Clients
- 2025-19 – SEC Charges Paul McCabe and PMAC Consulting with Acting as Unregistered Brokers for Pre-IPO Stocks
- 2025-18 – SEC Charges GrubMarket with Overstating Revenue to Investors by More Than $500 Million
- 2025-17 – SEC Charges LPL Financial with Anti-Money Laundering Violations
- 2025-16 – SEC Charges Pair of Wells Fargo Advisory Firms and Merrill Lynch with Compliance Failures Relating to Cash Sweep Programs
January 16, 2025
- 2025-15 – SEC Charges Two Sigma for Failing to Address Known Vulnerabilities in its Investment Models
- 2025-14 – SEC Announces Departure of Director of International Affairs YJ Fischer
- 2025-13 – SEC Announces Departure of General Counsel Megan Barbero
January 15, 2025
- 2025-12 – SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings
- 2025-11 – SEC Announces Departure of Chief Economist Jessica Wachter
- 2025-10 – SEC Monitoring Impact of California Wildfires on Capital Markets
January 14, 2025
- 2025-09 – SEC Announces Chief Accountant Paul Munter to Retire From Federal Service This Month
- 2025-08 – SEC Charges Advisory Firm Navy Capital With Misrepresenting Its Anti-Money Laundering Procedures to Investors
- 2025-07 – Three Investment Adviser Representatives Settle SEC Charges for Acting as Unregistered Brokers
January 13, 2025
- 2025-06 – Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s Charges for Recordkeeping Failures
- 2025-05 – Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties for Violating More Than 10 Separate Securities Law Provisions
- 2025-04 – SEC Charges Former Public Company Officer and His Sister-In-Law with Insider Trading
- 2025-03 – SEC Charges BMO Capital Markets with Failing to Supervise Agency Bond Desk
January 10, 2025
- 2025-02 – Alternative Trading Systems Operator Liquidnet Charged with Violations of Market Access Rule and for Failing to Protect Confidential Subscriber Trading Information
- 2025-01 – Vince McMahon, Former CEO of WWE, Charged for Failure to Disclose to WWE Two Settlement Agreements He Executed on Behalf of WWE