In response to a previously announced medical issue, the Securities and Exchange Commission today announced that Richard Best, the Director of the Division of Examinations, will take leave from the agency to focus on his health. Keith E. Cassidy, the… SEC Press Release
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SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach… SEC Press Release
SEC Adopts Tailored Registration Form for Offerings of Registered Index-Linked and Registered Market-Value Adjustment Annuities
The Securities and Exchange Commission today adopted tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and… SEC Press Release
SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program
The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering… SEC Press Release
SEC Charges Consensys Software for Unregistered Offers and Sales of Securities through its MetaMask Staking Service
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking… SEC Press Release
SEC Office of the Investor Advocate Delivers Report to Congress on Objectives for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives for fiscal year 2025. As detailed in the Report, the Investor Advocate’s priorities for fiscal year 2025… SEC Press Release
SEC Charges JAG Capital Advisors and its Founder Joshua Goltry with Defrauding Investors
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. According to the SEC’s… SEC Press Release
SEC Charges Founder of AI Hiring Startup Joonko with Fraud
The Securities and Exchange Commission today charged Ilit Raz, CEO and founder of the now-shuttered artificial intelligence recruitment startup Joonko, with defrauding investors of at least $21 million by making false and misleading statements about the… SEC Press Release
SEC Appoints Erica Y. Williams to a Second Term as PCAOB Chairperson
The Securities and Exchange Commission today announced the appointment of Erica Y. Williams to a second term as Chairperson of the Public Company Accounting Oversight Board (PCAOB) beginning on Oct. 25, 2024, and running through Oct. 24, 2029. “I thank… SEC Press Release
SEC Invites Regulated Entities to Submit Self-Assessments of Diversity Policies and Practices
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. Engaging in a self-assessment provides an opportunity for organizations to closely review their diversity and… SEC Press Release