Tag: securities_and_exchange_commission
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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SEC Chairman Atkins Issues Statement on the Innovation Exemption
SEC Chairman Paul S. Atkins has released a statement titled "The Innovation Exemption: A Bridge Toward Durable Rulemaking," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentFinancial MarketsLegalGeneral Politics Securities and Exchange CommissionPaul S. AtkinsInnovation ExemptionRulemakingSpeeches and StatementsFinancial Regulation
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SEC Office of Municipal Securities Issues Statement on Non-Solicitor Municipal Advisors' Role in Disclosure
The SEC's Office of Municipal Securities has published a new statement addressing the role non-solicitor municipal advisors play in disclosure, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionOffice of Municipal Securitiesmunicipal advisorsdisclosuremunicipal securitiesregulationWashington, DC
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SEC Examinations Director Keith Cassidy Outlines "Accessible and Integrated" Approach
The Securities and Exchange Commission has posted a new speech by Keith Cassidy, Director of the Division of Examinations, titled "Exams Accessible and Integrated."
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionKeith CassidyDivision of ExaminationsExams Accessible and IntegratedSEC speeches and statementsWashington DC
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SEC's Peirce Remarks on Proposals to Rescind Rule 14a-8 and Modernize Proxy Solicitation Rules
SEC Commissioner Hester M. Peirce has released remarks titled "A Proposal on Proposals," addressing proposals to rescind Rule 14a-8 and modernize proxy solicitation rules.
BusinessPolitics and GovernmentLaw EnforcementUSAFederal GovernmentFinancial MarketsLegalEconomy Hester M. PeirceSecurities and Exchange CommissionRule 14a-8Proxy Solicitation RulesSpeeches and StatementsWashington, DC
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SEC Proposes Rescission of Shareholder Proposal Rule 14a-8
The SEC proposes rescinding Rule 14a-8, saying it exceeds its statutory authority and intrudes on state law, alongside reforms to the proxy solicitation process.
BusinessPolitics and GovernmentLaw EnforcementUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionRule 14a-8Securities Exchange Act of 1934Shareholder proposalsProxy solicitationFederal regulationState law
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SEC's Uyeda Issues Statement on Proposed Rescission of Rule 14a-8
SEC Commissioner Mark T. Uyeda has released a statement on the proposed rescission of Rule 14a-8 and proposed proxy solicitation modernization, posted to the agency's speeches and statements page.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegalEconomy Securities and Exchange CommissionMark T. UyedaRule 14a-8Proxy SolicitationSEC Speeches and StatementsProxy Rules
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SEC Chairman Atkins to Speak at Solana Policy Institute Summit
SEC Chairman Paul S. Atkins delivers remarks at the Solana Policy Institute Summit in a speech titled "Washington x Wall Street," posted to the agency's Speeches and Statements page.
BusinessPolitics and GovernmentScience & TechnologyUSAFinancial MarketsFederal GovernmentGeneral PoliticsComputers and Internet Securities and Exchange CommissionPaul S. AtkinsSolana Policy Institute SummitWashington x Wall StreetSpeeches and StatementsWashington, DC
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SEC Grants Exemptive Relief from Certain Inline XBRL Filing Requirements
The SEC issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024, covering specified filing and submission obligations.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionInline XBRLexemptive relieffiling requirementsSEC orderfinancial reporting
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UK and U.S. Regulators Hold Joint Exercise on Central Counterparty Resolution
Senior officials from five U.S. and UK financial authorities met September 3, 2026, for a tabletop exercise on the hypothetical resolution of central counterparties, continuing joint work dating to 2017.
BusinessPolitics and GovernmentUSAUnited KingdomFinancial MarketsBankingFederal GovernmentEconomy Commodity Futures Trading CommissionBank of Englandcentral counterpartiesCCP resolutionSecurities and Exchange CommissionFederal Deposit Insurance CorporationFederal Reserve Board
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US and UK Regulators Hold Joint Exercise on Central Counterparty Resolution
Senior officials from the SEC, FDIC, CFTC, Federal Reserve Board and Bank of England met on Sept. 3, 2026 for a tabletop exercise on central counterparty resolution.
BusinessPolitics and GovernmentUSAUnited KingdomFinancial MarketsBankingFederal GovernmentEconomy Securities and Exchange CommissionBank of Englandcentral counterparty resolutionFederal Deposit Insurance CorporationCommodity Futures Trading CommissionFederal Reserve Boardtabletop exercise
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SEC, NYSE, NASD and Industry Groups Outline Year 2000 Transition Efforts
The President's Year 2000 Council, SEC, NYSE, NASD, ICI and SIA outlined securities industry efforts to ensure a smooth transition into the Year 2000.
BusinessScience & TechnologyPolitics and GovernmentUSAFinancial MarketsBankingFederal GovernmentComputers and Internet Securities and Exchange CommissionYear 2000New York Stock ExchangeNational Association of Securities DealersInvestment Company InstituteSecurities Industry AssociationPresident's Council on Year 2000 Conversion
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SEC: 21 Municipal Securities Underwriters Fined $325,000 Total
NASD Regulation censured and fined 21 securities firms for violating Municipal Securities Rulemaking Board Rule G-36, with the Comptroller of the Currency also sanctioning firms.
BusinessLaw EnforcementUSAFinancial MarketsLegalBanking Securities and Exchange CommissionNASD Regulation Inc.Municipal Securities Rulemaking BoardRule G-36Comptroller of the Currencymunicipal securitiesfines
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SEC Chairman Levitt, Iowa Officials to Hold Investors' Town Meeting in Des Moines
SEC Chairman Arthur Levitt, U.S. Rep. Greg Ganske and Iowa Securities Superintendent Craig Goettsch will hold an Investors' Town Meeting on Friday, November 21 at the Embassy Suites Hotel in Des Moines.
BusinessPolitics and GovernmentUSAFederal GovernmentFinancial MarketsGeneral PoliticsLegal Securities and Exchange CommissionArthur LevittGreg GanskeCraig GoettschInvestors' Town MeetingDes MoinesIowa
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SEC Commissioner Uyeda Remarks Published After Investor Advisory Committee Meeting
The Securities and Exchange Commission has posted Commissioner Mark T. Uyeda's remarks delivered at the agency's Investor Advisory Committee meeting, adding to its published speeches and statements.
Politics and GovernmentBusinessFederal GovernmentFinancial MarketsLegal Securities and Exchange CommissionMark T. UyedaInvestor Advisory CommitteeSEC speeches and statementsFinancial regulationBusiness and Finance