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SEC Press Releases11 posts in two weeks
- Oct 9 SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds SentNot sent
- Oct 6 SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case SentNot sent
- Oct 6 SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers SentNot sent
- Oct 5 SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week SentNot sent
- Oct 1 SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws SentNot sent
- Oct 1 SEC’s Division of Examinations Announces New Exam Handbook SentNot sent
- Sep 30 SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities SentNot sent
- Sep 30 SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans SentNot sent
- Sep 30 SEC Proposes Amendments to Expand Responsible Retailization of Private Markets SentNot sent
- Sep 29 SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors SentNot sent
- Sep 28 SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest SentNot sent
enforcement
SEC Press ReleasesSep 28, 3:07 PM
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective…
SEC Press ReleasesSep 29, 12:17 PM
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where…
SEC Press ReleasesSep 30, 11:45 AM
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…
SEC Press ReleasesSep 30, 1:59 PM
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…
SEC Press ReleasesSep 30, 3:12 PM
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO…
SEC Press ReleasesOct 1, 11:32 AM
SEC’s Division of Examinations Announces New Exam Handbook
The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…
SEC Press ReleasesOct 1, 3:54 PM
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business…
SEC Press ReleasesOct 5, 9:21 AM
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…
SEC Press ReleasesOct 6, 11:52 AM
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
SEC Press ReleasesOct 6, 5:46 PM
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
SEC Press ReleasesOct 9, 11:01 AM
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments…
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4 of 11 posts sent to #enforcement, 7 left in Feeder.
Real press releases, as Feeder found them from September 28 to October 9, 2026.
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