Tag: securities_regulation
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SEC Charges 38 Entities Over False Filings to Lure Investors
The SEC has charged 38 entities for allegedly making false filings in Forms ADV between 2025 and 2026. These firms are accused of misrepresenting themselves as legitimate U.S. advisory firms to attract retail investors.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentEconomyFinancial MarketsLegal SECInvestment AdvisersFalse FilingsRetail InvestorsFraudForms ADVSecurities Regulation
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SEC Commissioner Uyeda Addresses Small Business Capital Formation Committee
SEC Commissioner Mark T. Uyeda delivered remarks to the Small Business Capital Formation Advisory Committee. His speech, now available, offers insights into capital formation for small businesses, providing public access to the discussion.
Politics and GovernmentBusinessFederal GovernmentEconomyFinancial MarketsEducation Mark T. UyedaSECSmall Business Capital Formation Advisory CommitteeCapital FormationSmall BusinessSpeechesSecurities Regulation