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.
Washington D.C., Sept. 4, 2018 — The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named Director of the agency’s Office of Municipal Securities (OMS). Ms. Olsen has served as OMS’s Acting Director since September 2017. The Office of Municipal Securities is responsible for coordinating the SEC’s municipal securities activities, including policy […]
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 […]
SEC Publishes Two Reports on Credit Rating Agencies Showing Continued Focus on Compliance and Competition
Washington D.C., Dec. 18, 2018 — Credit rating agencies registered with the SEC continue to promote compliance by enhancing their policies, procedures, and internal controls in response to Commission rules and staff examinations. SEC staff reports released today on nationally recognized statistical rating organizations (NRSROs) show that some firms are self-reporting instances of noncompliance and some smaller firms […]