The SEC’s regulation of the securities markets facilitates capital formation, which helps entrepreneurs start businesses and companies grow. Last year $4.27 trillion was raised in public and private securities offerings, promoting economic growth and job creation.
The Securities and Exchange Commission today announced that Jessica Kane has been named the Director of the agency’s Office of Credit Ratings, where she has served as Acting Director since September 2017. The Office of Credit Ratings is responsible for oversight of nationally recognized statistical rating organizations (NRSROs). The office conducts annual examinations of NRSROs […]
Gary Goldsholle, Former Deputy Director, Current Senior Policy Adviser in the Division of Trading and Markets, to Leave the SEC
Washington D.C., Oct. 10, 2018 — The Securities and Exchange Commission today announced that Gary Goldsholle, a senior policy adviser in the Division of Trading and Markets, will leave the agency on Oct. 12. Mr. Goldsholle joined the SEC staff in 2015 as a deputy director in the Division of Trading and Markets with responsibility for its […]
Washington D.C., Aug. 6, 2018 — The Securities and Exchange Commission today announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, four impersonators of genuine firms, and nine bogus regulators. The updates by the SEC Division of Enforcement’s Office of Market […]