Industry News
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- Prepared Remarks before the Small Business Capital Formation Advisory Committeeon May 6, 2024
Prepared Remarks before the Small Business Capital Formation Advisory Committee Gary Gensler Chair, Securities and Exchange Commission May 6, 2024
- A Crowd of Angels: Remarks before the Small Business Capital Formation Advisory Committeeon May 6, 2024
A Crowd of Angels: Remarks before the Small Business Capital Formation Advisory Committee Commissioner Hester M. Peirce May 6, 2024
- Remarks to the Small Business Capital Formation Advisory Committeeon May 6, 2024
Remarks to the Small Business Capital Formation Advisory Committee Commissioner Mark T. Uyeda May 6, 2024
- SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusionon May 3, 2024
The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has been appointed the Director of the Office of Minority and Women Inclusion (OMWI). Mr. Benjamin will join OMWI from AmeriCorps, where he is the Chief Diversity and…
- Lane Drifting: Remarks at the Hoover Monetary Policy Conferenceon May 3, 2024
Lane Drifting: Remarks at the Hoover Monetary Policy Conference Commissioner Hester M. Peirce May 3, 2024
- Staff Statement on Issuer Disclosure and Reporting Obligations in Light of Rule 102(e) Order against BF Borgers CPA PC[1]on May 3, 2024
Staff Statement on Issuer Disclosure and Reporting Obligations in Light of Rule 102(e) Order against BF Borgers CPA PC Division of Corporation Finance and Office of the Chief Accountant May 3, 2024
- SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filingson May 3, 2024
The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “Respondents”), with deliberate and systemic failures to comply with Public Company Accounting Oversight Board (PCAOB)…
- SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investingon April 25, 2024
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity and…
- SEC Staff Publishes New Registered Fund Statistics Reporton April 24, 2024
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. The new report, which will be updated on a quarterly basis…
- New Registered Fund Statistics Reporton April 24, 2024
New Registered Fund Statistics Report Chair Gary Gensler April 24, 2024
- Remarks at the 43rd Annual Small Business Forum Catching up with Small Caps: Lessons Learned from Going Public and Staying Publicon April 19, 2024
Catching up with Small Caps: Lessons Learned from Going Public and Staying Public Remarks at the 43rd Annual Small Business Forum Commissioner Jaime Lizárraga April 18, 2023
- Earthquakes, Eclipses, and Enigmas: Remarks at the SEC’s 43nd Annual Small Business Forum – Catching up with Small Caps: Lessons learned going public and staying publicon April 18, 2024
Earthquakes, Eclipses, and Enigmas: Remarks at the SEC’s 43nd Annual Small Business Forum – Catching up with Small Caps: Lessons learned going public and staying public Commissioner Hester M. Peirce April 18, 2024
- SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Managementon April 17, 2024
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a variety of…
- Remarks at the 43rd Annual Small Business Forumon April 17, 2024
Remarks at the 43rd Annual Small Business Forum Commissioner Mark T. Uyeda Washington, DC April 17, 2024
- SEC Issues Second Fee Rate Advisory for Fiscal Year 2024on April 17, 2024
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to…
- Prepared Remarks Before the 2024 43rd Annual Small Business Forumon April 16, 2024
Prepared Remarks Before the 2024 43rd Annual Small Business Forum Gary Gensler, Chair, Securities and Exchange Commission April 16, 2024
- AMPLIFYING VOICES: Opening Remarks at the SEC’s Small Business Forumon April 16, 2024
AMPLIFYING VOICES: Opening Remarks at the SEC’s Small Business Forum Stacey Bowers, Director, Office of the Advocate for Small Business Capital Formation April 16, 2024
- Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024on April 15, 2024
Remarks at Program on Corporate Compliance and Enforcement Spring Conference 2024 Gurbir Grewal
- There’s Got to Be a Better Way: Statement of Dissent Regarding Wayzata Investment Partners LLCon April 15, 2024
There’s Got to Be a Better Way: Statement of Dissent Regarding Wayzata Investment Partners LLC Commissioner Hester M. Peirce April 15, 2024
- Comment on FinCEN’s AML/CFT Program and SAR Filing for Registered Investment Advisers and Exempt Reporting Advisers Proposalon April 12, 2024
Comment on FinCEN’s AML/CFT Program and SAR Filing for Registered Investment Advisers and Exempt Reporting Advisers Proposal Commissioner Hester Peirce April 12, 2024