Tag: securities_and_exchange_commission
-
US Regulators Urge Investors to Build Resilience Against Market Swings and Fraud for World Investor Week 2026
SEC, CFTC, FINRA, NASAA, NFA and SIPC issue a joint investor bulletin for World Investor Week 2026, urging diversification, emergency savings and vigilance against relationship and impersonation scams.
BusinessLaw EnforcementUSACanadaFinancial MarketsLegalComputers and InternetSocial Issues World Investor Week 2026Securities and Exchange Commissioninvestor educationinvestment fraudrelationship investment scamsdiversificationSecurities Investor Protection Corporation
-
SEC Joins Global Regulators to Issue Investor Fraud Awareness Bulletin for World Investor Week
The SEC and global financial regulators issued a joint investor bulletin for World Investor Week, urging investors to stay resilient amid changing conditions and to guard against fraud.
BusinessLaw EnforcementUSAFinancial MarketsLegalSocial Issues Securities and Exchange CommissionWorld Investor Weekinvestor bulletinfraud awarenessfinancial regulatorsinvestor protection
-
SEC Chairman Atkins and Commissioner Uyeda Issue Statement on Departure of Commissioner Hester Peirce
SEC Chairman Paul S. Atkins and Commissioner Mark T. Uyeda have issued a joint statement on the departure of Commissioner Hester Peirce, posted to the agency's Speeches and Statements page.
Politics and GovernmentBusinessUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionHester PeircePaul S. AtkinsMark T. UyedaSEC CommissionerGovernment
-
SEC's Peirce Calls Custody Rule Proposal a "Roller Coaster Ride"
SEC Commissioner Hester M. Peirce has issued a statement on proposed adviser and regulated fund custody rules, including crypto custody rules, titled "Roller Coaster Ride."
BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionHester M. PeirceCustody RulesCrypto CustodyRegulated FundsInvestment AdvisersSpeeches and Statements
-
SEC Proposes Framework for Crypto Asset Custody by Advisers and Funds
The SEC has proposed new rules and amendments creating a tailored framework for how registered investment advisers and regulated funds may custody crypto assets under federal securities laws.
BusinessPolitics and GovernmentUSAFinancial MarketsLegalFederal GovernmentEconomy Securities and Exchange Commissioncrypto assetsinvestment advisersregulated fundscustodyfederal securities lawsbusiness development companies
-
SEC Commissioner Uyeda Issues Statement on Proposed Custody Rule Amendments
SEC Commissioner Mark T. Uyeda has released a statement on proposed amendments to the custody rules, posted among the agency's speeches and statements.
BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionMark T. Uyedacustody rulesproposed amendmentsSEC CommissionerWashington, DCfinancial regulation
-
SEC's Division of Examinations Announces New Exam Handbook
The SEC's Division of Examinations published a new handbook replacing its previous examination brochure, offering a practical guide on process and engagement for the firms it examines.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalBanking SECDivision of ExaminationsSEC Exam HandbookSecurities and Exchange CommissionFinancial RegulationExam Handbook
-
SEC Staff Issue Statement on Trump Accounts
The SEC's Divisions of Investment Management and Corporation Finance have posted a joint staff statement on Trump Accounts, newly available in the agency's Speeches and Statements section.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal SECTrump AccountsDivision of Investment ManagementDivision of Corporation FinanceSecurities and Exchange CommissionStaff Statement
-
SEC Staff Issues Statement on Affiliations Between National Securities Exchanges and Broker-Dealers
The SEC's Division of Trading and Markets has published a staff statement addressing affiliations between national securities exchanges and broker-dealers, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionDivision of Trading and MarketsNational Securities ExchangesBroker-DealersStaff StatementFinancial Regulation
-
SEC's Peirce Delivers 'The Other AI' Remarks on Accredited Investor Notices
SEC Commissioner Hester M. Peirce has delivered remarks titled "The Other AI" at an Open Commission Meeting on accredited investor notices under Rule 501(a)(10) of Regulation D.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionHester M. PeirceRegulation Daccredited investorRule 501(a)(10)Open Commission MeetingSpeeches and Statements
-
SEC's Peirce Issues Statement on Proposals to Facilitate Retail Investor Access to Private Investments
SEC Commissioner Hester M. Peirce has released a statement titled "Performance Interval" addressing proposals aimed at facilitating retail investor access to private investments.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionHester M. Peirceretail investor accessprivate investmentsPerformance IntervalSEC speeches and statementsfinancial regulation
-
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The SEC has charged Christopher Kenji Dinelli and Jacob David "Kobe" Frankel over an alleged fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond.
Law EnforcementBusinessUSALegalFinancial MarketsMilitary SECChristopher Kenji DinelliJacob David Frankelfraud schemeveteransBeyond fundSecurities and Exchange Commission
-
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The SEC voted to propose rule amendments aimed at facilitating capital formation in public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomyLegal Securities and Exchange CommissionSEC rule amendmentscapital formationretail investorsprivate marketsregulated fund structuresretailization
-
SEC Chairman Atkins Statement at Open Meeting on Expanding Responsible Retailization of Private Markets
SEC Chairman Paul S. Atkins issued a statement at an open meeting on proposals to expand responsible retailization of private markets, the agency announced.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentLegal Securities and Exchange CommissionPaul S. Atkinsprivate marketsretailizationopen meetingSpeeches and Statements
-
SEC Charges Entities in $15 Million Investment Confidence Scams Run via WhatsApp
The SEC charged multiple entities, likely run by individuals overseas, over investment confidence scams that defrauded hundreds of retail investors, including many in the U.S., of at least $15 million.
BusinessLaw EnforcementUSAFinancial MarketsLegalComputers and Internet SECSecurities and Exchange Commissioninvestment confidence scamsWhatsAppfraud schemesretail investorsSecurities fraud
-
SEC Charges Investment Adviser Zoe Financial Over Undisclosed Conflicts of Interest
The SEC announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts about conflicts of interest to clients and prospective clients.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionZoe Financial Inc.investment adviserconflict of interestsettled chargesNew Yorkdisclosure
-
SEC Officials Issue Statement on Fair Value Measurement for Private Assets
SEC Chief Accountant Kurt Hohl and Investment Management Director Brian Daly released a statement on fair value measurement and disclosure considerations for private assets.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsBankingLegal Securities and Exchange CommissionKurt HohlBrian Dalyfair value measurementprivate assetsDivision of Investment Managementfinancial disclosure
-
SEC Commissioner Peirce to Address SIFMA Digital Assets Conference
SEC Commissioner Hester M. Peirce has posted remarks titled "Looking for Change in Haystacks," delivered before SIFMA's Digital Assets Conference, the agency announced.
BusinessPolitics and GovernmentScience & TechnologyUSAFederal GovernmentFinancial MarketsLegalComputers and Internet Securities and Exchange CommissionHester M. PeirceSIFMADigital Assets ConferenceSpeeches and StatementsDigital Assets
-
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
SEC's Division of Economic and Risk Analysis releases updated capital markets statistics and data visualizations, showing a notable rise in initial public offerings and proceeds raised.
BusinessPolitics and GovernmentUSAFinancial MarketsEconomyFederal GovernmentLegal Securities and Exchange CommissionDivision of Economic and Risk AnalysisInitial Public OfferingsU.S. capital marketsMarket statisticsProceeds raised
-
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
SEC charges CMI Capital LLC and founder Michael D. Williams over an alleged fraudulent investment scheme that raised about $860,000 from at least 18 investors, many of them current or former law enforcement.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionCMI Capital LLCMichael D. WilliamsSouth Floridainvestment schemesecurities fraud
-
SEC Censures OTC Link LLC Over Repeated Regulation SCI Failures
The SEC censured New York broker dealer OTC Link LLC and ordered a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity.
BusinessLaw EnforcementUSAFinancial MarketsLegalFederal Government Securities and Exchange CommissionOTC Link LLCRegulation SCIcivil penaltycensurebroker dealerNew York
-
SEC Chief Economist Joshua White to Speak at ICI Compliance, Risk, and Legal Conference
SEC posts remarks from Joshua White, Chief Economist and Director of the Division of Economic and Risk Analysis, delivered at the ICI Compliance, Risk, and Legal Conference.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsEconomyLegal Securities and Exchange CommissionJoshua WhiteICI Compliance, Risk, and Legal ConferenceDivision of Economic and Risk AnalysisSpeeches and StatementsWashington, DC
-
SEC Enforcement Director David Woodcock to Speak at 12th Annual Government Enforcement Institute
The SEC has posted remarks by David Woodcock, Director of the Division of Enforcement, delivered before the 12th Annual Government Enforcement Institute, now available in the agency's speeches and statements.
BusinessLaw EnforcementPolitics and GovernmentFederal GovernmentLegalFinancial MarketsEconomy Securities and Exchange CommissionDavid WoodcockDivision of Enforcement12th Annual Government Enforcement InstituteSpeeches and StatementsWashington, DC
-
SEC's Peirce to Address Roundtable on Preparations for 24-Hour Trading
SEC Commissioner Hester M. Peirce has posted remarks titled "Stock Around the Clock" for the agency's roundtable on preparations for 24-hour trading, the SEC announced.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionHester M. Peirce24-hour tradingStock Around the ClockroundtableSpeeches and Statements
-
SEC's Uyeda to Speak at Roundtable on 24-Hour Trading
SEC Commissioner Mark T. Uyeda has delivered remarks at the agency's roundtable on 24-hour trading, with the speech published in the SEC's Speeches and Statements section.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionMark T. Uyeda24-hour tradingSEC roundtableSpeeches and StatementsWashington, DC
-
SEC Chairman Atkins Remarks at 24-Hour Trading Roundtable
SEC Chairman Paul S. Atkins has delivered remarks at a 24-hour trading roundtable, with the speech now available through the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionPaul S. Atkins24-Hour Trading RoundtableSEC speeches and statementsUS financial regulation
-
SEC's Jamie Selway to Speak at Roundtable on Preparations for 24-Hour Trading
Jamie Selway, Director of the SEC's Division of Trading and Markets, has posted remarks for a roundtable examining preparations for 24-hour trading in US markets.
BusinessPolitics and GovernmentUSAFinancial MarketsFederal GovernmentEconomy Securities and Exchange CommissionJamie Selway24-Hour TradingDivision of Trading and MarketsRoundtableUS financial regulation
-
SEC Commissioner Peirce Issues "Slumber Number" Innovation Exemption Statement
SEC Commissioner Hester M. Peirce has released a new statement titled "Slumber Number: Innovation Exemption Statement," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionHester M. PeirceSlumber NumberInnovation Exemption StatementSEC Speeches and StatementsFinancial Regulation
-
SEC Grants "Innovation Exemption" for Tokenized NMS Stock Trading
The SEC issued temporary, conditional exemptive relief allowing Tokenized Securities Venues to trade tokenized NMS stock without registering as exchanges, and opened a request for comment.
BusinessScience & TechnologyPolitics and GovernmentFinancial MarketsLegalFederal GovernmentComputers and Internet Securities and Exchange CommissionTokenized Securities Venuestokenized NMS stockSecurities Exchange Act of 1934Innovation Exemptionexemptive reliefrequest for comment
-
SEC Commissioner Uyeda Issues Statement on the Innovation Exemption
SEC Commissioner Mark T. Uyeda has released a statement on the Innovation Exemption, posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionMark T. UyedaInnovation ExemptionSEC CommissionerSpeeches and StatementsFinancial Regulation