The Securities and Exchange Commission today announced the creation of the Cyber and Emerging Technologies Unit (CETU) to focus on combatting cyber-related misconduct and to protect retail investors from bad actors in the emerging technologies space. The…

The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C. on April 10 from 1 – 4:30 p.m. ET. The forum brings together members of the…

The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve…

The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to…

The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural persons. …

The Securities and Exchange Commission today provided a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act and from reporting on Form SHO. As a result of the exemption, filings on initial Form SHO reports from…

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s executive staff, which will advise the Acting Chairman on matters before the Commission and work closely with SEC staff. Gabriel Eckstein, Chief of Staff Steven…

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 25, 2025, which will include discussion of capital raising challenges facing emerging fund managers…

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda has named Natalia Díez Riggin as Senior Advisor and Acting Director of the Office of Legislative and Intergovernmental Affairs.   “I’m thrilled that Natalia has…

The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these amendments, which was…

The Securities and Exchange Commission’s Office of Credit Ratings (OCR) today published its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs) summarizing the findings of the NRSRO examinations and discussing…

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s selections for several senior roles in acting capacities across the Commission to fill vacancies created by recent departures.  “These talented individuals are…

Today SEC Acting Chairman Mark T. Uyeda launched a crypto task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets. Commissioner Hester Peirce will lead the task force. Richard Gabbert, Senior Advisor to the…

The Securities and Exchange Commission announced that President Donald J. Trump has designated Mark T. Uyeda as Acting Chairman of the agency.

The Securities and Exchange Commission today announced that Sanjay Wadhwa, the Acting Director of the Division of Enforcement, will depart the agency, effective January 31, 2025, after more than 21 years of service with the Commission. “I thank Sanjay…

The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Advisors LLC, an affiliated…

The Securities and Exchange Commission today announced that, based on its preliminary results, it filed 200 total enforcement actions in the first quarter of fiscal year 2025, which ran from October through December 2024, including 118 standalone…

The Securities and Exchange Commission today announced the departure of Scott Schneider, a counselor to Chair Gary Gensler and Director of the Office of Public Affairs (OPA), effective next month. Mr. Schneider has served in the role since April 19, 2021…

The Securities and Exchange Commission today announced that Corey Klemmer will step down from her role as Policy Director, a role she has held since May 2024. She joined the SEC as Corporation Finance Counsel to Chair Gary Gensler in July 2021. “I thank…

The Securities and Exchange Commission today announced the departure of Amanda Fischer, who has served as Chief of Staff since Jan. 1, 2023. She joined the agency as a Senior Counselor to Chair Gary Gensler in June 2021. “I want to thank Amanda for…