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., Feb. 21, 2019 — The Securities and Exchange Commission today announced that Giles Cohen has been named Acting Chief Counsel, Office of the Chief Accountant (OCA). Mr. Cohen joined the SEC in 2005 as senior counsel in the Division of Enforcement, and later served as counsel in the Office of Commissioner Luis Aguilar. Mr. […]
The Securities and Exchange Commission today announced that Electronic Transaction Clearing (ETC), a registered broker-dealer headquartered in Los Angeles, has agreed to settle charges that it illegally placed more than $25 million of customers’ securities at risk in order to fund its own operations. Among other things, the SEC found that ETC violated the Customer Protection […]
Jina L. Choi, Regional Director of the SEC’s San Francisco Office, to Leave the Agency After Over 16 Years of Service
Washington D.C., Nov. 29, 2018 — The Securities and Exchange Commission today announced that Jina L. Choi, Director of the agency’s San Francisco Regional office, will leave the agency at the end of this month after more than 16 years of service. Under Ms. Choi’s leadership since 2013, the San Francisco office has brought numerous […]