Press Releases

Press Releases · 11 Sep 11:00 UTC · 2d ago

Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution

Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened for a tabletop exercise on Se...

Press Releases · 10 Sep 13:45 UTC · 3d ago

SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme

The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $...

Press Releases · 3 Sep 16:30 UTC · 1w ago

SEC Proposes Rescission of Political Contribution Rule for Investment Advisers

The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to...

Press Releases · 3 Sep 10:27 UTC · 1w ago

SEC Investor Advisory Committee to Host Sept. 10 Meeting

The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in...

Press Releases · 1 Sep 15:17 UTC · 1w ago

SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading

The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street...

Press Releases · 1 Sep 13:52 UTC · 1w ago

SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme

The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orche...

Press Releases · 1 Sep 10:57 UTC · 1w ago · 2 outlets

SEC Proposes to Modernize Rules for Registered Transfer Agents

The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer a...

Press Releases · 31 Aug 14:24 UTC · 1w ago

SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity

The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respe...

Press Releases · 28 Aug 13:33 UTC · 2w ago

SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations

The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obli...

Press Releases · 27 Aug 17:30 UTC · 2w ago · Business

SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors

The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimat...

Press Releases · 18 Aug 15:55 UTC · 3w ago

SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor

The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their role...

Press Releases · 18 Aug 13:15 UTC · 3w ago

SEC Proposes New Regulation Crypto Assets

The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving cry...

Press Releases · 14 Aug 16:16 UTC · 4w ago · Business

SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam

The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of pr...

Press Releases · 13 Aug 16:32 UTC · 1mo ago · Business

SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities

The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were prim...

Press Releases · 10 Aug 14:00 UTC · 1mo ago

SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud

The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; an...

Press Releases · 5 Aug 14:30 UTC · 1mo ago

SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division

The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financi...

Press Releases · 30 Jul 09:53 UTC · 1mo ago

SEC Announces Continuation of Small Business Advisory Committee Meeting

The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.g...

Press Releases · 27 Jul 15:59 UTC · 1mo ago · Politics

Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy

The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report pro...

Press Releases · 23 Jul 11:04 UTC · 1mo ago

SEC Announces Roundtable on Preparations for 24-Hour Trading

The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight t...

Press Releases · 22 Jul 09:45 UTC · 1mo ago

SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon

The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be s...