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News
Municipal Securities Underwriters Pay a Total of $325,000 in Fines
1+ day, 21+ hour ago (61+ words) The Securitiesand Exchange Commission announced today that NASD RegulationInc. censured and fined 21 securities firms for violationsof Rule G-36 of the Municipal Securities Rulemaking Board.At the same time, the Comptroller of the Currency sanctioneda… Washington, DC, Dec. 16, 2026 — The SEC, NASD Regulation…...
SEC CHAIRMAN ARTHUR LEVITT, IOWA OFFICIALS TO HOLD INVESTORS’ TOWN MEETING IN DES MOINES
1+ day, 21+ hour ago (234+ words) Washington, D.C., Nov. 5, 2026 — On Friday, November 21, U.S.Securities and Exchange Commission Chairman Arthur Levitt, U.S.Representative Greg Ganske, and Craig Goettsch, Iowa’sSuperintendent of Securities, will hold an Investors’ TownMeeting at the Embassy Suites Hotel in Des Moines, Iowa. Morethan 800 investors are…...
SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
2+ day, 11+ hour ago (369+ words) The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200… Official websites use.gov Secure.gov…...
Remarks at the Investor Advisory Committee Meeting
2+ day, 15+ hour ago (459+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Remarks at the Investor Advisory Committee Meeting Thank you, George [Georgiev]. Good morning and welcome to all Committee members and panelists. I appreciate the…...
Lame Duck: Remarks at the Meeting of the SEC Investor Advisory Committee
2+ day, 15+ hour ago (213+ words) Thank you, George [Georgiev]. Good morning and welcome to the Committee members and today’s panelists. Thank you for your participation in the meeting. Thank you also to Marc Sharma, Adam Moore, Charles Kwon, and Adam Anicich for their tireless work…...
Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act
1+ week, 2+ day ago (399+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act Sixteen years ago, the Commission adopted Rule 206(4)-5 under the Investment Advisers Act (“Advisers…...
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
1+ week, 2+ day ago (317+ words) The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years… Official websites use.gov Secure.gov websites use HTTPS…...
SEC Investor Advisory Committee to Host Sept. 10 Meeting
1+ week, 2+ day ago (129+ words) Washington D.C., Sept. 3, 2026 — The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the…...
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
1+ week, 4+ day ago (419+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from…...
SEC Proposes to Modernize Rules for Registered Transfer Agents
1+ week, 4+ day ago (147+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents. “This proposal would streamline and modernize the Commission’s rules to reflect transfer agents’ current processes and operations, including the…...