The SEC enforces the securities laws to protect the more than 65 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.
The Securities and Exchange Commission today announced that New York entrepreneur William Z. (Billy) McFarland, two companies he founded, a former senior executive, and a former contractor agreed to settle charges arising out of an extensive, multi-year offering fraud that raised at least $27.4 million from over 100 investors. The SEC’s complaint alleges that McFarland […]
Washington D.C., Sept. 20, 2018 — The Securities and Exchange Commission today announced that Pamela C. Dyson plans to leave the SEC to serve as executive vice president, head of the Technology Group, and Chief Information Officer (CIO) at the Federal Reserve Bank of New York. Ms. Dyson joined the SEC in 2010, progressing through […]
World Investor Week Brings Together Securities Regulators on Six Continents to Promote Investor Education and Protection
Joint Investor Bulletin Issued With CFTC, FINRA and NASAA on Tips for Smart Investing Washington D.C., Oct. 2, 2017— The Securities and Exchange Commission, along with the U.S. Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA), is leading efforts in the U.S. to raise awareness about the importance of investor education […]