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EX-99.1 - SEC.gov
1+ day ago —...from prototype to product: begin shipment of Alpha-2 prototype battery... ...March 27 that we started shipments of six-layer Alpha-2 prototype battery... ...Conventional EV battery performance can be significantly impaired... ...Commercial Li-ion Energy Cell is rated by manufacturer for operating...
sec.gov > news > press-release
SEC Staff Publishes New Registered Fund Statistics Report
1+ day ago —...staff of the Securities and Exchange Commission today published... ...Chair Gary Gensler.... ...Chief Economist Jessica Wachter.... ..., head of the Division of Investment Management’s Analytics Office...
sec.gov > news > speech
Pourquoi Pas? Securities Regulation and the American Dream: Remarks before the Association of Private Enterprise Education...
2+ week ago —...and Exchange Commission (“SEC” or “Commission”) or my fellow Commissioners... ...Commissioner Hester M. Peirce Thank you, Will [Luther].... ...Securities regulation in the United States generally falls in the... ...He spoke admiringly of the United States as the land of opportunity...
sec.gov > news > press-release
SEC Charges Five Investment Advisers for Marketing Rule Violations
1+ week ago —...Securities and Exchange Commission today announced settled charges... ...All five firms have agreed to settle the SEC’s charges and to pay... ...; Janet Grossnickle, Julia Gilmer, Jennifer Paul, and Jennifer Sawin... ...Hancock, Jonathan Menitove, Donna Norman, and Emily Shea under the...
sec.gov > news > press-release
Register for the SEC’s 43rd Annual Small Business Forum April 16-18
2+ week ago —...Small Business Capital Formation will host the SEC’s 43rd Annual... ...Government-Business Forum on Small Business Capital Formation during... ...SOCIAL MEDIA 1 Twitter 2 Facebook 2 Instagram 3RSS 4YouTube 6LinkedIn... ...policy recommendations to the Commission and Congress....
sec.gov > news > speech
Remarks at SEC Speaks 2024 Division of Examinations Panel
3+ week ago —...of Credit Ratings, and the Office of Municipal Securities here to... ..., Keith Cassidy, to get the panel started.... ...Director of the Technology Controls Program.... ...And with that, let me now introduce our Deputy Director, Keith Cassidy...
sec.gov > news > press-release
SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures
3+ week ago —...registered investment adviser Senvest Management LLC for widespread... ...Securities and Exchange Commission today announced charges against... ...laws,” said Eric Werner, Director of the Fort Worth Regional Office... ..., and Jeaneen Kappell of the Fort Worth Regional Office and was supervised...
sec.gov > news > speech
We Will Rock You: [1] The Small but Mighty Office of the Advocate for Small Business Capital Formation...
3+ week ago —...Stacey BowersDirector, Office of the Advocate for Small Business... ...of the Office of the Advocate for Small Business Capital Formation... ...[6] SEC Office of the Advocate for Small Business Capital Formation... ... [7] SEC Office of the Advocate for Small Business Capital Formation...
sec.gov > news > speech
Remarks at SEC Speaks 2024
3+ week ago —...of the Securities and Exchange Commission’s Division of Enforcement... ...GrewalDirector, Division of Enforcement Good morning everyone, and... ...In a few moments, my Enforcement Division colleagues will talk to... ...And for years, the SEC has clearly and consistently applied Howey...
sec.gov > news > speech
Remarks at the “SEC Speaks” Conference 2024
3+ week ago —...In 1984, Chairman John Shad reflected on the Commission’s “illustrious... ...Uyeda Thank you, Erik [Gerding], for the introduction and for co-chairing... ...Unlike Star Trek: The Next Generation, merely because Captain Jean-Luc... ...At times, Congress has mandated that the Commission require non-material...