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Remarks at Ohio State Law Journal Symposium 2024

1+ day ago — 

...And thank you to the Ohio State Law Journal for the invitation to... ...of the Securities and Exchange Commission’s Division of Enforcement... ...actions was over $6.4 billion, the highest amount in Commission... ...history.[7] And when it comes to other remedies, recent Commission...

favicon sec.gov > news > press-release

SEC.gov | SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel

2+ day ago — 

...’s ethics requirements,” said SEC Chair Gary Gensler.... ...Securities and Exchange Commission today adopted amendments to its... ...and Exchange Commission.... ...For many years, SEC employees have been required to preclear securities...

favicon sec.gov > news > press-release

SEC Charges Husband of Energy Company Manager with Insider Trading

2+ day ago — 

...Securities and Exchange Commission today charged Tyler Loudon of... ...Houston, Texas, with insider trading ahead of a February 2023 announcement... ...and Jamie Haussecker of the SEC’s Fort Worth Regional Office, under... ..., Regional Director of the SEC’s Fort Worth Regional Office....

favicon sec.gov > news > press-release

SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market...

1+ week ago — 

...SEC Small Business Advisory Committee to Discuss the Accredited Investor... .... 16, 2024 — The Securities and Exchange Commission’s Small Business... ...of the SEC’s Office of Minority and Women Inclusion, the Committee... ...The Committee will spend the rest of the morning considering potential...

favicon sec.gov > news > press-release

SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers

1+ week ago — 

...broker-dealer TIAA-CREF Individual & Institutional Services LLC... ...Individual Retirement Account (TIAA IRA).... ...Michael Altschuler, Sabrina Rubin, and Linda Lettieri.   ... ...The SEC’s order finds that TC Services violated Reg BI’s General...

favicon sec.gov > news > press-release

SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch...

1+ week ago — 

...investment adviser Van Eck Associates Corporation has agreed to... ...According to the SEC’s order, in March 2021, Van Eck Associates launched... ...Padgett, and John Farinacci under the supervision of Virginia Rosado... ...Dean, and Corey Schuster, all with the Enforcement Division’s Asset...

favicon sec.gov > news > press-release

Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures...

2+ week ago — 

...Securities and Exchange Commission today announced charges against... ...their conduct violated recordkeeping provisions of the federal securities... ...Smith Jr. of the New York Regional Office.... ...Montoya and Kathryn A. Pyszka of the Chicago Regional Office....

favicon sec.gov > news > press-release

SEC Adopts Amendments to Enhance Private Fund Reporting

2+ week ago — 

...with the Commodity Futures Trading Commission (CFTC) as commodity... ...to enhance the ability of the Financial Stability Oversight Council... ...said SEC Chair Gary Gensler.... ...“Since Form PF first was adopted, the SEC, CFTC, and FSOC have identified...

favicon sec.gov > news > press-release

SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product

2+ week ago — 

...Securities and Exchange Commission today announced charges against... ...To settle the SEC’s charges, TradeStation agreed to pay a $1.5 million... ...The SEC’s investigation was conducted by Kevin Hayne and Ashley Sprague... ...The SEC’s Office of Investor Education and Advocacy has previously...

favicon sec.gov > news > press-release

SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud

2+ week ago — 

...fraud charges against Cloopen Group Holding Limited, a China-based... ...Securities and Exchange Commission today announced settled accounting... ...Simpson LaGoy and Ellen Chen and supervised by David Zhou and Jason... ...Lee of the San Francisco Regional Office. ...

 


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