SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management

SEC Issues Second Fee Rate Advisory for Fiscal Year 2024

SEC Charges Five Investment Advisers for Marketing Rule Violations

Register for the SEC’s 43rd Annual Small Business Forum April 16-18

SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month

SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet

SEC Seeks Candidates for Investor Advisory Committee

SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading

SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress

SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College

Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges

SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence

SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community

SEC Charges 17 Individuals in $300 Million Crypto-Asset Ponzi Scheme Targeting the Latino Community

SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition

SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members

SEC Adopts Amendments to Enhance Disclosure of Order Execution Information

SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors

SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid