For import from the SEC
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for Transfer Agents, is a webinar scheduled for Dec. 17…
The Securities and Exchange Commission’s Crypto Task Force announced today it will host a public roundtable on financial surveillance and privacy on Friday, October 17 from 1 p.m. to 4…
The Securities and Exchange Commission today announced the formation of a task force that will strengthen and enhance the Division of Enforcement’s efforts to identify and combat cross-border fraud harming…
The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued a joint statement on regulatory harmonization opportunities and announced a joint roundtable to be held on…
The Securities and Exchange Commission today charged Daryl F. Heller of Pennsylvania and his companies, Prestige Investment Group, LLC and Paramount Management Group, LLC, with operating a multi-year Ponzi scheme…
Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) today issued a Joint Statement regarding the trading of certain spot crypto asset products. This…
The Securities and Exchange Commission today announced the agenda and panelists for its September 18, 2025 roundtable on trade-through prohibitions. The roundtable will be held at the SEC’s headquarters at…
The Securities and Exchange Commission today announced that Judge Margaret “Meg” Ryan has been named Director of the Division of Enforcement, effective Sept. 2, 2025. Acting Director of Enforcement Sam…
The Securities and Exchange Commission today charged Ryan Wear, of Marysville, Washington, and his entities, Water Station Management LLC and Creative Technologies, Inc., for operating two related Ponzi-like schemes between…
Today, the Securities and Exchange Commission announced a new statistics and data visualization page that includes statistics and graphics on key elements of the capital markets, such as initial public…