Securities and Exchange Commission

Securities and Exchange Commission News Feed

• SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing

  Securities and Exchange Commission - Thu Apr 25, 1:32PM CDT

  The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity and…
• SEC Staff Publishes New Registered Fund Statistics Report

  Securities and Exchange Commission - Wed Apr 24, 9:14AM CDT

  The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. The new report, which will be updated on a quarterly basis…
• SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management

  Securities and Exchange Commission - Wed Apr 17, 2:00PM CDT

  The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a variety of…
• SEC Issues Second Fee Rate Advisory for Fiscal Year 2024

  Securities and Exchange Commission - Wed Apr 17, 9:44AM CDT

  The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to…
• SEC Charges Five Investment Advisers for Marketing Rule Violations

  Securities and Exchange Commission - Fri Apr 12, 8:08AM CDT

  The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. The five…
• Register for the SEC’s 43rd Annual Small Business Forum April 16-18

  Securities and Exchange Commission - Thu Apr 4, 3:18PM CDT

  The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from 1-2:30 p.m.…
• SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

  Securities and Exchange Commission - Wed Apr 3, 2:46PM CDT

  The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged Senvest…
• SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month

  Securities and Exchange Commission - Tue Apr 2, 2:12PM CDT

  The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “What does your financial future look like? Having a plan can help answer the…
• SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet

  Securities and Exchange Commission - Wed Mar 27, 9:08AM CDT

  The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”). The amendments will require an investment adviser relying on…
• SEC Seeks Candidates for Investor Advisory Committee

  Securities and Exchange Commission - Tue Mar 26, 3:16PM CDT

  The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. The Committee was established under the Dodd-Frank Wall Street Reform and…