Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraudon August 3, 2022
The Securities and Exchange Commission today charged Surgalign Holdings, Inc., formerly RTI Surgical Holdings, Inc., and former executives Brian Hutchison and Robert Jordheim for masking disappointing sales numbers by shipping future orders ahead of…
- Trading Prohibitions on Foreign Companies Under the HFCAA: Investor Bulletinon August 3, 2022
- Statement on Jury’s Verdict in Trial of Christopher Nohl, Michael Hull, and Entities They Owned or Controlledon August 2, 2022
Gurbir S. Grewal Statement on Jury’s Verdict in Trial of Christopher Nohl, Michael Hull, and Entities They Owned or Controlled Aug 02, 2022
- SEC Appoints Anthony C. Thompson to Second Term on PCAOBon August 2, 2022
The Securities and Exchange Commission today announced the appointment of Anthony (Tony) C. Thompson to a second term as a Board Member of the Public Company Accounting Oversight Board (PCAOB). Mr. Thompson joined the Board on January 3, 2022, filling a…
- Prepared Remarks Before the Small Business Capital Formation Advisory Committeeon August 2, 2022
Prepared Remarks Before the Small Business Capital Formation Advisory Committee Gary Gensler Chair, Securities and Exchange Commission August 2, 2022
- SEC Charges Convertible Note Dealer and its Long Island-Based Owners for Failure to Registeron August 2, 2022
The Securities and Exchange Commission today announced settled charges against a convertible note dealer, Crown Bridge Partners, LLC, and its managing members, Soheil and Sepas Ahdoot of Great Neck, N.Y., for failing to register with the SEC as…
- Remarks to the Small Business Capital Formation Advisory Committeeon August 2, 2022
Commissioner Mark T. Uyeda Remarks to the Small Business Capital Formation Advisory Committee August 2, 2022
- Remarks at the Small Business Capital Formation Advisory Committee Meeting: Shining a Spotlight (or Searchlight) on Secondary Market Liquidity for Small Businesseson August 2, 2022
Remarks at the Small Business Capital Formation Advisory Committee Meeting: Shining a Spotlight (or Searchlight) on Secondary Market Liquidity for Small Businesses Commissioner Hester M. Peirce
- Remarks at the Small Business Advisory Committee Meetingon August 2, 2022
Remarks at the Small Business Advisory Committee Meeting Commissioner Jaime Lizárraga August 2, 2022
- SEC Charges Eleven Individuals in $300 Million Crypto Pyramid Schemeon August 1, 2022
The Securities and Exchange Commission today charged 11 individuals for their roles in creating and promoting Forsage, a fraudulent crypto pyramid and Ponzi scheme that raised more than $300 million from millions of retail investors worldwide, including…
- SEC Re-Proposes Amendments to Exemption From National Securities Association Membershipon July 29, 2022
The Securities and Exchange Commission today re-proposed rule amendments that would narrow the exemption from Section 15(b)(8) of the Securities Exchange Act, which requires any broker or dealer registered with the Commission to become a member of a…
- Statement on Re-Proposed Amendments Regarding Exemption from National Securities Association Membershipon July 29, 2022
Statement on Re-Proposed Amendments Regarding Exemption from National Securities Association Membership July 29, 2022
- Statement in Honor of National Whistleblower Dayon July 29, 2022
Gurbir S. Grewal Statement in Honor of National Whistleblower Day July 29, 2022
- Statement of Commissioners Hester M. Peirce and Mark T. Uyeda on Proposed Amendments to Exchange Act Rule 15b9-1on July 29, 2022
Statement of Commissioners Hester M. Peirce and Mark T. Uyeda on Proposed Amendments to Exchange Act Rule 15b9-1 July 28, 2022
- Statement Regarding In the Matter of Aegis Capital Corporationon July 28, 2022
Statement Regarding In the Matter of Aegis Capital Corporation by Commissioner Hester M. Peirce July 28, 2022
- New Report from the Small Business Forum Includes Recommendations to Improve Capital Raisingon July 28, 2022
The Securities and Exchange Commission today released a report to Congress, which summarizes policy recommendations made during the 41st Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum…
- Remarks at Financial Stability Oversight Council Meetingon July 28, 2022
Remarks of Gary Gensler Chair, Securities and Exchange Commission Financial Stability Oversight Council Meeting July 28, 2022
- SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Thefton July 27, 2022
The Securities and Exchange Commission today separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s…
- SEC Small Business Advisory Committee to Discuss Liquidity Challenges for Investors in Small and Emerging Businesseson July 27, 2022
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Tuesday, Aug. 2, which will address liquidity challenges for investors in small and emerging businesses.…
- Prepared Remarks at Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead”on July 27, 2022
Prepared Remarks of Gary Gensler Chair, Securities and Exchange Commission Center for Audit Quality “Sarbanes-Oxley at 20: The Work Ahead” July 27, 2022