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Last updated 2 days ago
SEC Announces Cyber and Emerging Technologies Unit to Protect Retail Investors
2 days ago
The Securities and Exchange Commission today announced the creation of the Cyber...
SEC Announces 44th Annual Small Business Forum to Impact Capital-Raising Policy
8 days ago
The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business...
SEC Seeks Candidates for Membership on the Investor Advisory Committee
8 days ago
The Securities and Exchange Commission is seeking candidates for appointment as members...
SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients
8 days ago
The Securities and Exchange Commission today filed settled charges against New York-based...
Exemption From the Requirement to Report Certain Personally Identifiable Information to the Consolidated Audit Trail
11 days ago
The Securities and Exchange Commission today provided an exemption from the requirement...
Exemption From Exchange Act Rule 13f-2 and Related Form SHO
14 days ago
The Securities and Exchange Commission today provided a temporary exemption from compliance...
Acting Chairman Mark T. Uyeda Announces Executive Staff and Other Appointments
18 days ago
The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s...
SEC Small Business Advisory Committee to Continue Discussing Challenges Facing Emerging Fund Managers, and Explore Hurdles for Small Public Companies Not Listed on a National Securities Exchange
23 days ago
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today...
Acting Chairman Mark T. Uyeda Names Natalia Díez Riggin as Senior Advisor and Acting Director of Legislative and Intergovernmental Affairs
23 days ago
The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda...
Extension of Form PF Amendments Compliance Date
24 days ago
The Securities and Exchange Commission, together with the Commodity Futures Trading Commission...
SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
24 days ago
The Securities and Exchange Commission’s Office of Credit Ratings (OCR) today published...
Acting Chairman Mark T. Uyeda Names Acting Senior Staff
29 days ago
The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s...