SEC News

Washington D.C., Oct. 22, 2019 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin at 9:30 a.m. Eastern Time in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and is open to the public. The meeting will be webcast live […]

Washington D.C., Oct. 18, 2019 — The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that are substantially identical to recent precedent, as well as a new informal internal procedure for applications that would not qualify […]

Washington D.C., Oct. 17, 2019 — The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from 4 – 7 p.m. ET on Thursday, Oct. 24 during homecoming week. The special event, which will be held on the campus of Morehouse College, will feature conversations […]

Washington D.C., Oct. 17, 2019 — The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade in lower volumes, commonly referred to as “thinly traded securities.” Low trading volumes may drive higher […]

Washington D.C., Oct. 16, 2019 — The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against 18 traders in a scheme to manipulate more than 3,000 U.S.-listed securities for over $31 million in illicit profits. The SEC alleges that the traders, who are primarily based in China, manipulated the prices […]

Washington D.C., Oct. 15, 2019 — The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with its Teachers Initiative.  These initiatives include the launch of a podcast series for public school educators, nationwide events for teachers, and the RISE 2.0 of California summit in Los Angeles on Oct. 17.  The outreach […]

Washington D.C., Oct. 15, 2019 — The Securities and Exchange Commission today announced that Domenick Migliorato, a former supervisor of the securities lending desk at Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), has agreed to settle charges for his supervisory failures involving the improper handling of transactions involving American Depositary Receipts (ADRs). […]

Washington D.C., Oct. 15, 2019 — The Securities and Exchange Commission today announced that Robert Burson, an Associate Regional Director of Enforcement in the Chicago Regional Office, is retiring after 29 years at the agency, all in the Chicago office. Mr. Burson, who is departing at the end of this month, joined the Division of Enforcement […]

Washington D.C., Oct. 11, 2019 — The Securities and Exchange Commission today announced that it has filed an emergency action and obtained temporary restraining order against two offshore entities conducting an alleged unregistered, ongoing digital token offering in the U.S. and overseas that has raised more than $1.7 billion of investor funds. According to the […]

Washington D.C., Oct. 11, 2019 — The Securities and Exchange Commission today announced the appointment of Rebekah Goshorn Jurata as a Board member of the Public Company Accounting Oversight Board (PCAOB) for a term ending October 24, 2024. The Sarbanes-Oxley Act of 2002 established the PCAOB to oversee the audits of public companies and broker-dealers […]