Press Releases - SEC.gov
5 days ago · SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering 2025-27 Jan. 17, 2025
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Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow.
Newsroom - SEC.gov
5 days ago · The Securities and Exchange Commission announced that President Donald J. Trump has designated Mark T. Uyeda as Acting Chairman of the agency.
SEC.gov | Twenty-Six Firms to Pay More Than $390 Million …
Aug 14, 2024 · The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
SEC Adopts Rules to Enhance and Standardize Climate-Related …
Mar 6, 2024 · The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings.
Search Filings - SEC.gov
Jul 2, 2024 · Securities Topics. Crypto Assets; Cybersecurity; Saving and Investing for Military Personnel; Market Structure; Saving and Investing for Teachers
SEC Chair Gensler to Depart Agency on January 20
Nov 21, 2024 · The Securities and Exchange Commission today announced that its 33rd Chair, Gary Gensler, will step down from the Commission effective at 12:00 pm on January 20, 2025. Chair Gensler began his tenure on April 17, 2021, in …
Statement on the Approval of Spot Bitcoin Exchange-Traded …
Jan 10, 2024 · The U.S. Court of Appeals for the District of Columbia held that the Commission failed to adequately explain its reasoning in disapproving the listing and trading of Grayscale’s proposed ETP (the Grayscale Order).
Eleven Firms to Pay More Than $88 Million Combined to Settle …
The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications in violation of ...
SEC Charges Coinbase for Operating as an Unregistered Securities ...
Jun 6, 2023 · The Securities and Exchange Commission today charged Coinbase, Inc. with operating its crypto asset trading platform as an unregistered national securities exchange, broker, and clearing agency. The SEC also charged Coinbase for failing to register the offer and sale of its crypto asset staking-as-a-service program.