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Shopping News / Articles
Municipal Securities Underwriters Pay a Total of $325,000 in Fines
22+ hour, 51+ min 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
22+ hour, 51+ min 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
1+ day, 12+ 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
1+ day, 16+ 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
1+ day, 16+ 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…...
First Amendment Sense and Sensibilities: Statement on Proposed Rescission of Pay-to-Play Rule
1+ week, 1+ day ago (308+ words) Today, the Commission proposed to rescind Investment Advisers Act rule 206(4)-5, the investment adviser “Pay-to-Play Rule.” I am thrilled that we are proposing to eliminate rather than simply amend the rule, which always has bothered my First Amendment sensibilities.[1] Political speech…...
Statement on Proposal to Rescind “Pay-to-Play” Rule
1+ week, 1+ day ago (182+ words) However, since its adoption, it has proven only to be needlessly penalizing, burdensome and complex to implement, and misaligned with the SEC’s mandate. To that end, our proposal would rescind the political contribution rule in its entirety and amend the…...
Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act
1+ week, 1+ 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, 1+ 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, 1+ 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…...
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