CampusCoin Student Feed Aggregator

+ SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management—The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging ...

+ SEC Issues Second Fee Rate Advisory for Fiscal Year 2024—The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will b...

+ SEC Charges Five Investment Advisers for Marketing Rule Violations—The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All ...

+ Register for the SEC’s 43rd Annual Small Business Forum April 16-18—The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Busine...

+ SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures—The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longsta...

+ SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month—The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financia...

+ SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet—The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commi...

+ SEC Seeks Candidates for Investor Advisory Committee—The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and imp...

+ SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading—The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of...

+ SEC’s OMWI FY 2023 Annual Report Highlights the Agency’s Diversity, Equity, Inclusion and Accessibility Initiatives and Progress—As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office...

+ SEC, NASAA, and Georgia Secretary of State to Host Investor Roundtables at University of North Georgia and Dalton State College—The Securities and Exchange Commission today announced that it will join the North American Securities Administrators Association (NASAA), the Georgia...

+ Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges—The Securities and Exchange Commission today announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million ci...

+ SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence—The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc....

+ SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community—The Securities and Exchange Commission today charged 17 individuals for their roles in a $300 million Ponzi scheme that involved Houston, Texas-based ...

+ SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition—The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and fou...

+ SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members—The Securities and Exchange Commission today announced that Skechers U.S.A. Inc., a footwear company based in California, agreed to settle charges for...

+ SEC Adopts Amendments to Enhance Disclosure of Order Execution Information—The Securities and Exchange Commission today adopted rule amendments that update the disclosure required under Rule 605 of Regulation NMS for order ex...

+ SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors—The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public of...

+ SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid—The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for it...

+ SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle—The Securities and Exchange Commission today charged Lordstown Motors Corp. with misleading investors about the sales prospects of Lordstown’s flagshi...

+ SEC Investor Advisory Committee to Discuss Proposals to Improve Equity Market Structure and Examine the Use of Materiality as a Disclosure Standard—The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March 7 at 10 a.m. ET at the SEC Headquarters in Wa...

+ SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management—The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, will depart th...

+ SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media—The Securities and Exchange Commission today charged Paul A. Pereira, the former CEO and co-founder of Alfi, Inc., with making materially false and mi...

+ SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel—The Securities and Exchange Commission today adopted amendments to its ethics rules to strengthen and modernize its ethics compliance program. The ame...

+ SEC Charges Husband of Energy Company Manager with Insider Trading—The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that L...

+ SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market—The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb...

+ SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers—The Securities and Exchange Commission today announced that registered broker-dealer TIAA-CREF Individual & Institutional Services LLC (TC Service...

+ SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations—The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statist...

As of 4/19/24 2:47pm. Last new 4/17/24 3:28pm.  Score: 118