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SEC.gov | Economic Analysis
U.S. Securities and Exchange Commission· 5 days agoThe “Current Guidance on Economic Analysis in SEC Rulemaking” (March 16, 2012) (“Guidance”) was prepared by the Division of Economic and Risk Analysis and the Office of the ...
SEC.gov | Jared Mitchell
U.S. Securities and Exchange Commission· 4 days agoU.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 26018 / June 7, 2024 Securities and Exchange Commission v. Auerbach et al., No. 1:19-cv-5631 (E.D.N.Y. filed Oct. 4, 2019) < ...
SEC.gov | SEC Charges Three New Yorkers for Raising More Than $184 Million Through Pre-IPO Fraud...
U.S. Securities and Exchange Commission· 4 days agoIn this new action, the SEC alleges that New York residents Mario Gogliormella, Steven Lacaj, and Karim Ibrahim directed an unregistered sales force of more than 50 callers ...
SEC.gov | SEC to Close Salt Lake Regional Office
U.S. Securities and Exchange Commission· 7 days agoThe SLRO has long been the SEC’s smallest regional office and recently has experienced significant attrition. The agency considered its budget and organizational efficiency ...
SEC.gov | SEC Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and...
U.S. Securities and Exchange Commission· 6 days agoEngaging in a self-assessment provides an opportunity for organizations to closely review their diversity and inclusion policies and practices for any strengths, opportunities, risks, and vulnerabilities ...
SEC.gov | Prepared Remarks before the Investor Advisory Committee
U.S. Securities and Exchange Commission· 5 days agoAs is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. This Investment ...
SEC.gov | Andreas Bechtolsheim
U.S. Securities and Exchange Commission· 2 days agoU.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 26014 / June 3, 2024 Securities and Exchange Commission v. Andreas Bechtolsheim, Civ. Action No. 5:24-cv-01845-PCP (N.D. Cal. filed ...
SEC.gov | Zhou Min Ni and Jian Ming “Jonathan” Ni, CPA
U.S. Securities and Exchange Commission· 2 days agoAccording to the SEC's complaint, which was filed in the U.S. District Court for the District of Columbia, Zhou Min Ni, while serving as HF Foods's CEO and Chairman, misappropriated ...
SEC Moves Closer to Regulating the Use of AI by Broker-Dealers and Investment Advisers | JD Supra
JD Supra· 14 hours agoThe Securities and Exchange Commission (SEC) held an open meeting of its Investment Advisory Committee on June 6, 2024, which featured a panel to review the use of artificial ...
SEC.gov | Sunshine Act Notice
U.S. Securities and Exchange Commission· 5 days agoSECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings TIME AND DATE: 2:00 p.m. on Thursday, June 13, 2024. PLACE: The meeting will be held via remote means and/or at the Commission’s headquarters, 100 F Street, NE, Washington, DC 20549. STATUS:
