SEC Press Releases
Last published 1d ago
- 1d agoSEC Announces Enforcement Annual Results for Fiscal Year 2026SEC Press ReleasesThe Securities and Exchange Commission today provided its enforcement results for the past fiscal year which ended September 30. Throughout the fiscal year, the SEC’s Division of Enforcement remained focused on its fundamental responsibility: protecting…
- 6d agoSEC CHAIRMAN ARTHUR LEVITT, IOWA OFFICIALS TO HOLD INVESTORS’ TOWN MEETING IN DES MOINESSEC Press ReleasesOn Friday, November 21, U.S.Securities and Exchange Commission Chairman Arthur Levitt, U.S.Representative Greg Ganske, and Craig Goettsch, Iowa’sSuperintendent of Securities, will hold an Investors’ TownMeeting at the Embassy Suites Hotel in…
- 1w agoSEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment AdvisersSEC Press ReleasesThe Securities and Exchange Commission today adopted amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility…
- 1w agoSEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo TransactionsSEC Press ReleasesThe Securities and Exchange Commission took another step forward today to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities by issuing exemptive relief related to inter-affiliate repo…
- 1w agoTwo Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor ConfidenceSEC Press ReleasesThe Securities and Exchange Commission today charged two foreign-operated, Colorado-incorporated entities, BG Wealth Sharing Ltd and DSJ Exchange Pty Ltd, for orchestrating a fraud scheme that used false SEC filings to boost confidence in their…
- 2w agoSEC Announces Fiscal Year 2027 Examination PrioritiesSEC Press ReleasesThe Securities and Exchange Commission today announced the Division of Examinations’ Fiscal Year 2027 examination priorities. The annual report identifies key areas of focus as the Division carries out its mission to promote compliance, prevent fraud,…
- 3w agoSEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service ProvidersSEC Press ReleasesThe U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the…
- 3w agoSEC, FSA Hold Autumn Financial Regulatory DialogueSEC Press ReleasesThe U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Autumn SEC-FSA Financial Regulatory Dialogue in Tokyo on Oct. 19, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…
- 3w agoSEC Announces Roundtable on Machine-Understandable Data in the Age of Super IntelligenceSEC Press ReleasesThe Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality…
- 4w agoSEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation CrowdfundingSEC Press ReleasesThe Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy…
- 1mo agoSEC Proposes Expanding Securities Eligible for Cross Trading by Registered FundsSEC Press ReleasesThe Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments…
- 1mo agoSEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking CaseSEC Press ReleasesThe Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
- 1mo agoSEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment AdvisersSEC Press ReleasesThe Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
- 1mo agoSEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor WeekSEC Press ReleasesThe Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…
- 1mo agoSEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities LawsSEC Press ReleasesThe Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business…
- 1mo agoSEC’s Division of Examinations Announces New Exam HandbookSEC Press ReleasesThe Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…
- 1mo agoSEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO SecuritiesSEC Press ReleasesThe Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO…
- 1mo agoSEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted VeteransSEC Press ReleasesThe Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…
- 1mo agoSEC Proposes Amendments to Expand Responsible Retailization of Private MarketsSEC Press ReleasesThe Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…
- 1mo agoSEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure InvestorsSEC Press ReleasesThe Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where…
- 1mo agoSEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of InterestSEC Press ReleasesThe Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective…
- 1mo agoSEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds RaisedSEC Press ReleasesThe Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public…
- 1mo agoSEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law EnforcementSEC Press ReleasesThe Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or…
- 1mo agoSEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCISEC Press ReleasesThe Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).According to the SEC’s settled…
- 1mo agoSEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for CommentSEC Press ReleasesThe SEC is taking a significant step forward, within its statutory authority, to bring America’s capital markets into the digital age by facilitating onchain trading of certain tokenized stocks.
- 1mo agoSEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation ProcessSEC Press ReleasesThe Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of state law.The Commission outlined…
- 1mo agoSEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission RequirementsSEC Press ReleasesThe Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in…
- 2mo agoJoint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty ResolutionSEC Press ReleasesSenior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened for a tabletop exercise on Sept. 3, 2026, to discuss certain…
- 2mo agoSEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi SchemeSEC Press ReleasesThe Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200…
- 2mo agoPresident’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000SEC Press ReleasesThe President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the National Association of Securities Dealers(NASD), the New York Stock Exchange (NYSE), the InvestmentCompany Institute (ICI), and the Securities…
- 2mo agoSEC Proposes Rescission of Political Contribution Rule for Investment AdvisersSEC Press ReleasesThe Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…
- 2mo agoSEC Investor Advisory Committee to Host Sept. 10 MeetingSEC Press ReleasesThe Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…
- 2mo agoSEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour TradingSEC Press ReleasesThe Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…
- 2mo agoSEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like SchemeSEC Press ReleasesThe Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that…
- 2mo agoSEC Proposes to Modernize Rules for Registered Transfer AgentsSEC Press ReleasesThe Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse…
- 2mo agoSEC and FDA Announce MOU to Bolster Cooperation and Ensure Market IntegritySEC Press ReleasesThe Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respective missions of ensuring the…
- 2mo agoSEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt ObligationsSEC Press ReleasesThe Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as "exempted…
- 2mo agoSEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail InvestorsSEC Press ReleasesThe Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimate advisory firms to U.S. investors…
- 2mo agoSEC Proposes New Regulation Crypto AssetsSEC Press ReleasesThe Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows…
- 2mo agoSEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender TricolorSEC Press ReleasesThe Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme…
- 2mo agoSEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment ScamSEC Press ReleasesThe Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly…
- 3mo agoSEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish CommunitiesSEC Press ReleasesThe Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that misappropriated approximately $47 million from more than 87 investors, who were primarily members of Orthodox…
- 3mo agoSEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged FraudSEC Press ReleasesThe Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the…
- 3mo agoSEC Establishes Financial Reporting and Accounting Unit in Enforcement DivisionSEC Press ReleasesThe Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well…
- 3mo agoSEC Announces Continuation of Small Business Advisory Committee MeetingSEC Press ReleasesThe Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will…
- 3mo agoSmall Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising PolicySEC Press ReleasesThe Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum…
- 3mo agoSEC Announces Roundtable on Preparations for 24-Hour TradingSEC Press ReleasesThe Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency…
- 3mo agoSEC Announces Departure of Principal Deputy Director of Enforcement Sam WaldonSEC Press ReleasesThe Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy…
- 3mo agoSEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for InvestorsSEC Press ReleasesThe Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements…
- 4mo agoSEC Office of Municipal Securities Updates FAQs for Registration of Municipal AdvisorsSEC Press ReleasesThe Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The…