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sec.gov — 3+ hour, 42+ min ago
SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
sec.gov > news > press-release...with respect to continuation funds,” said Corey Schuster, Co-Chief of the Enforcement Division’s Asset Management Unit.... ...FOR IMMEDIATE RELEASE 2023-193 Washington D.C., Sept. 22, 2023 — The Securities and Exchange Commission today announced that American Infrastructure... ...Private Funds Unit, including Daniel Faigus, Tracey Bonner, Jennifer Conwell, and Jennifer Duggins.... ...Schuster, and Andrew Dean with the Enforcement Division’s Asset Management Unit, with the assistance of staff from the Division of Examinations"...
sec.gov — 4+ hour, 33+ min ago
SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
sec.gov > news > press-release...To settle the SEC’s charges, Miami-based Citadel Securities agreed to pay a $7 million penalty.... ...FOR IMMEDIATE RELEASE 2023-192 Washington D.C., Sept. 22, 2023 — The Securities and Exchange Commission today announced settled charges against broker-dealer... ...; Mandy Sturmfelz of the SEC’s Market Abuse Unit; Damon Taaffe and Melissa Armstrong of the Home Office Trial Unit; and Kevin Gershfeld and Robert... ...Christopher Ray of the SEC’s Division of Trading and Markets; Elcin Yildirim, Alan Lenarcic, and Peter Csatorday of the SEC’s Division of Examinations...
sec.gov — 1+ day ago
SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors...
sec.gov > news > press-release...Investors Washington D.C., Sept. 21, 2023 — The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment... ...Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from more than... ...Along with Gutierrez, the SEC also charged Efren Quiroz, Luis Quiroz, Maria Tolentino, and Diayanira Rendon for their roles in the alleged fraud.... ...The SEC’s investigation was conducted by Stephen T. Kaiser, with assistance from Margaret Vizzi. Melissa Armstrong and Mr....
sec.gov — 2+ day, 35+ min ago
Statement on Updates to the Names Rule
sec.gov > news > statement...Today, the Commission is considering final rules to update the Names Rule.... ...In 1996, Congress amended these provisions to authorize the Securities and Exchange Commission to define registered investment company names as “... ...In crafting the federal securities laws, Congress understood the importance of how funds describe themselves--including through the names they choose...
sec.gov — 5+ hour, 33+ min ago
Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
sec.gov > news > press-release...FOR IMMEDIATE RELEASE 2023-191 Washington D.C., Sept. 22, 2023 — The Securities and Exchange Commission today announced settled charges against Goldman... ...LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. ... ...Smith Jr., Associate Regional Director in the New York Regional Office.... ...Separately, the Financial Industry Regulatory Authority (FINRA) reached a settlement with Goldman for related conduct....
sec.gov — 1+ day ago
Remarks at Meeting of the SEC Investor Advisory Committee
sec.gov > news > speech...Remarks at Meeting of the SEC Investor Advisory Committee Commissioner Hester M. Peirce Thank you, Christopher [Mirabile].... ...Thank you, Committee members and panelists, for your participation in this first in-person Investor Advisory Committee meeting since 2019.... ...These topics are central to the Commission’s mission to facilitate capital formation, but they are also central to the Commission’s investor protection... ...- Why do we need a new rule just three years after the Commission’s adoption of human capital disclosures3 and before FASB issues its final disaggregation...
sec.gov — 1+ day ago
Prepared Remarks Before the Investor Advisory Committee
sec.gov > news > speech...Prepared Remarks Before the Investor Advisory Committee Good morning, thank you, Christopher.... ...I am pleased to join the Investor Advisory Committee.... ...The Financial Stability Board has written about them as well.3... ...markets, it's helpful to hear from the Investor Advisory Committee about exempt offerings and related issues....
sec.gov — 1+ day ago
SEC Approves Revised Privacy Act Rule
sec.gov > news > press-release...FOR IMMEDIATE RELEASE 2023-189 Washington D.C., Sept. 20, 2023 — The Securities and Exchange Commission today approved a rule to revise the Commission... ...’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government.... ...“I was pleased to support this adoption because it will update the Commission’s rules with respect to this important law,” said SEC Chair Gary Gensler... ...STAY CONNECTED 1 Twitter 2 Facebook 3RSS 4YouTube 6LinkedIn 8 Email Updates...
sec.gov — 2+ day, 15+ min ago
Statement Regarding Adoption of Amendments to the Names Rule
sec.gov > news > statement...Theodor Geisel: one is required to say what they mean, and to mean what they say.[1] The Names Rule, which the Commission first adopted in 2001,... ...It is no secret that the Federal securities laws and the SEC’s rules implementing them can be, at times, a little technical.... ...Geisel’s philosophy is put into practice. Like many of our rules, there is a little math (in this case, just some simple arithmetic).... ...It also makes clear the Commission’s longstanding position that technical compliance with the Names Rule does not exempt a fund from its overarching...
sec.gov — 2+ day, 35+ min ago
Pizza or Pizza? Statement on Investment Company Names
sec.gov > news > statement...Statement on Investment Company Names Commissioner Hester M. Peirce Thank you, Mr.... ...expect when you walk into a pizza shop.... ...Thank you to Director Birdthistle and your staff in the Division of Investment Management.... ...For over two decades, the disclosure review staff in the Division of Investment Management has been put in the position of being arbiters of fund...