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Deadline of accounting documents

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Acting Chairman Mark T. Uyeda Names Acting Senior Staff

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s selections for several senior roles in acting capacities across the Commission to fill vacancies created by recent departures.  “These talented individuals are…

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24 January 2025 @ 16:00

SEC Crypto 2.0: Acting Chairman Uyeda Announces Formation of New Crypto Task Force

Today SEC Acting Chairman Mark T. Uyeda launched a crypto task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets. Commissioner Hester Peirce will lead the task force. Richard Gabbert, Senior Advisor to the…

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21 January 2025 @ 17:09

Mark T. Uyeda Named Acting Chairman of the SEC

The Securities and Exchange Commission announced that President Donald J. Trump has designated Mark T. Uyeda as Acting Chairman of the agency.

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21 January 2025 @ 15:14

SEC Announces Departure of Acting Enforcement Director Sanjay Wadhwa

The Securities and Exchange Commission today announced that Sanjay Wadhwa, the Acting Director of the Division of Enforcement, will depart the agency, effective January 31, 2025, after more than 21 years of service with the Commission. “I thank Sanjay…

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17 January 2025 @ 22:02

SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal Securities Offering

The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Advisors LLC, an affiliated…

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17 January 2025 @ 22:00

SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025

The Securities and Exchange Commission today announced that, based on its preliminary results, it filed 200 total enforcement actions in the first quarter of fiscal year 2025, which ran from October through December 2024, including 118 standalone…

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17 January 2025 @ 21:06

SEC Announces Departure of Public Affairs Head Scott Schneider

The Securities and Exchange Commission today announced the departure of Scott Schneider, a counselor to Chair Gary Gensler and Director of the Office of Public Affairs (OPA), effective next month. Mr. Schneider has served in the role since April 19, 2021…

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17 January 2025 @ 19:58

SEC Policy Director Corey Klemmer to Step Down

The Securities and Exchange Commission today announced that Corey Klemmer will step down from her role as Policy Director, a role she has held since May 2024. She joined the SEC as Corporation Finance Counsel to Chair Gary Gensler in July 2021. “I thank…

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17 January 2025 @ 18:20

SEC Announces Departure of Chief of Staff Amanda Fischer

The Securities and Exchange Commission today announced the departure of Amanda Fischer, who has served as Chief of Staff since Jan. 1, 2023. She joined the agency as a Senior Counselor to Chair Gary Gensler in June 2021. “I want to thank Amanda for…

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17 January 2025 @ 17:45

SEC Charges Digital Currency Group and Soichiro “Michael” Moro, Former CEO of Genesis Global Capital, for Misleading Investors about Genesis’s Financial Condition

The Securities and Exchange Commission today announced that Digital Currency Group Inc. (DCG), and Soichoro “Michael” Moro, the former CEO of DCG’s now-defunct subsidiary, Genesis Global Capital LLC, will pay a combined $38.5 million in civil penalties…

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17 January 2025 @ 17:30