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U.S. Securities and Exchange Commission Policy Primary Full text
On 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined 21 securities firms for violationsof Rule G-36 of the Municipal Securities Rulemaking Board.At the same time, the…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
U.S. Securities and Exchange Commission Policy Primary Full text
The 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…
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