Press Releases

SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management

1 day ago

The Securities and Exchange Commission’s Division of Investment Management (IM) today announced...

SEC Issues Second Fee Rate Advisory for Fiscal Year 2024

1 day ago

The Securities and Exchange Commission today announced that, starting on May 22...

SEC Charges Five Investment Advisers for Marketing Rule Violations

7 days ago

The Securities and Exchange Commission today announced settled charges against five registered...

Register for the SEC’s 43rd Annual Small Business Forum April 16-18

14 days ago

The Securities and Exchange Commission’s Office of the Advocate for Small Business...

SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

15 days ago

The Securities and Exchange Commission today announced charges against registered investment adviser...

SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month

16 days ago

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA)...

SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet

23 days ago

SEC Seeks Candidates for Investor Advisory Committee

23 days ago

SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading

24 days ago

SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress

29 days ago

As part of its continuing efforts to promote diversity, equity, and inclusion...

SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College

about 1 month ago

The Securities and Exchange Commission today announced that it will join the...

Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges

about 1 month ago

The Securities and Exchange Commission today announced that Genesis Global Capital, LLC...