The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. E. Shaw & Co., L.P. for raising impediments to whistleblowing by requiring employees to sign agreements prohibiting the… SEC Press Release
Enforcement
SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, (together, Prager) for violating auditor independence rules and for aiding… SEC Press Release
SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities
The Securities and Exchange Commission today proposed tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs). The amendments would highlight key information about RILAs, allow insurance… SEC Press Release
SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market… SEC Press Release
SEC Spotlights Due Diligence During World Investor Week 2023
The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023, which takes place October 2-8. Arising technologies and new digital tools are making it… SEC Press Release
SEC Names Stephanie Allen as Director of Media Relations and Speechwriting
The Securities and Exchange Commission today announced the appointment of Stephanie Allen as Director of Media Relations and Speechwriting, effective Oct. 1, 2023. Ms. Allen has served as Director of Speechwriting and Senior Adviser to the Chair since… SEC Press Release
Amendments to Rules Governing Beneficial Ownership Reporting
Amendments to Beneficial Ownership Reporting: Enhancing Disclosure and Timeliness The SEC has recently announced groundbreaking rule amendments designed to revamp beneficial ownership reporting. These amendments, operating under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934, mark a pivotal shift in the disclosure requirements for market participants. The […]
SEC Adopts Rule to Increase Transparency in the Securities Lending Market
The Securities and Exchange Commission today adopted new Rule 10c-1a, which will require certain persons to report information about securities loans to a registered national securities association (RNSA) and require RNSAs to make publicly available… Full Press Release available at
SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection
The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. Congress directed the SEC in Section… Full Press Release available at
SEC Division of Examinations Announces 2024 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the… Full Press Release available at