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Last updated about 15 hours ago
SEC Announces Departure of Policy Director Heather Slavkin Corzo and Appointment of Corey Klemmer to the Role
about 15 hours ago
The Securities and Exchange Commission today announced that Policy Director Heather Slavkin...
SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information
1 day ago
The Securities and Exchange Commission today announced the adoption of amendments to...
Tina Diamantopoulos Named Regional Director of Chicago Office
1 day ago
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been...
SEC Staff Publishes New Investment Adviser Statistics Report
3 days ago
The staff of the Securities and Exchange Commission today published a new...
SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
3 days ago
The Securities and Exchange Commission is seeking candidates to fill a limited...
SEC Charges Hudson Valley Wealth Management Advisory Firm and Founder for Failing to Disclose Conflicts of Interest
4 days ago
The Securities and Exchange Commission today announced settled charges against New York-based...
SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers
5 days ago
Today the Securities and Exchange Commission and the U.S. Department of the...
SEC Charges Pennsylvania Resident with Insider Trading in Dick’s Sporting Goods Securities
8 days ago
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T...
SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusion
14 days ago
The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has...
SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings
15 days ago
The Securities and Exchange Commission today charged audit firm BF Borgers CPA...
SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing
22 days ago
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today...
SEC Staff Publishes New Registered Fund Statistics Report
24 days ago
The staff of the Securities and Exchange Commission today published a new...