Today we announced that Activision Blizzard Inc agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and violated an SEC whistleblower protection rule.
For more:
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Today SEC staff released its annual report on nationally recognized statistical rating organizations for 2022.
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Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. Members of the public can watch the live meeting via webcast on sec.gov.
For more:
sec.gov/news/press-rel
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Today the SEC proposed to add new requirements and prohibitions to its ethics compliance program, which already includes some of the most stringent ethics requirements in the executive branch for all agency employees, their spouses, and minor children.
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Today, the Division of Examinations published a Risk Alert on observations from broker-dealer examinations related to Regulation Best Interest.
It highlights deficiencies noted during examinations, as well as examples of weak practices that could result in deficiencies.
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The SEC’s Office of the Chief Data Officer has published a Data Strategy for the agency.
It communicates a vision, with goals & initiatives, to support the SEC Strategic Plan for fiscal years 2022-2026 & guide the agency’s Data Management Program.
More: sec.gov/files/2022-ocd
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The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week.
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Today the Commission proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act.
Read more 👇👇
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Our Open Commission Meeting is LIVE!
On the agenda: prohibition against conflicts of interest in certain securitizations
Tune in at sec.gov
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Today we announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action.
For more information about the whistleblower program and how to report a tip, visit sec.gov/whistleblower.
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Tune in at 1pm ET today for our #SECSmallBiz team’s Capital Call! We’ll discuss #capitalraising trends and unique challenges facing underrepresented businesses and their investors.
👉 Stream live 👇
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Today we announced settled charges against Bloomberg Finance L.P. for misleading disclosures relating to its paid subscription service, BVAL, which provides daily price valuations for fixed-income securities to financial services entities.
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We charged Avraham Eisenberg with manipulating the MNGO token, a so-called governance token offered and sold as a security on the crypto platform Mango Markets. Eisenberg is in federal prison awaiting transport to NYC on parallel criminal charges.
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We are seeking candidates for appointment to the Small Business Capital Formation Advisory Committee to provide advice and recommendations on Commission rules, regulations, and policy matters relating to small businesses, including smaller public companies.
For more:
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Today we charged Nexo Capital Inc. with failing to register the offer and sale of its retail crypto asset lending product, the Earn Interest Product (EIP). To settle charges, Nexo agreed to pay $22.5 million and cease its unregistered offer and sale of the EIP to U.S. investors.
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No time to read our #SECSmallBiz team’s 2022 annual report on #capitalraising? Join the Office’s Capital Call on Jan 24 @ 1pm ET where we'll walk through the highlights. Visit our website to register. While you’re at it, bookmark the report for later!
👉 sec.gov/capitalcall
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Today we announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action.
For more information about the whistleblower program and how to report a tip, visit sec.gov/whistleblower.
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Join us next Tuesday at 1pm ET for the #SECSmallBiz team’s fourth annual Capital Call. Register now to join and ask questions!
👇
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Explore what’s happening with capital raising from #startup to #smallcap by joining our fourth annual Capital Call on Tuesday, January 24, 2023 at 1pm ET.
Registration is open! 👇
sec.gov/capital-call
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Today we announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action.
For more information about the whistleblower program and how to report a tip, visit:
sec.gov/whistleblower.
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Today we charged Genesis Global Capital, LLC and Gemini Trust Company, LLC for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program.
For more:
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Our very own Chair and Commissioner Caroline Crenshaw will be joining for a live discussion about financial readiness in 2023!
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We are pleased to welcome Cristina Martin Firvida, formerly a VP at AARP.
Cristina will lead the office that is exclusively dedicated to representing the needs of investors and promoting their interests.
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Want to explore what’s happening in #capitalraising from #startup to #smallcap? Join our #SECSmallBiz team on Jan 24 at 1pm ET for their Capital Call to dive into their recently released 2022 annual report Registration is coming soon!
Quote Tweet
New year, new report! ICYMI our #SECSmallBiz team delivered its 2022 annual report on #capitalraising from #startup to #smallcap to Congress and the Commission.
Check it out 
sec.gov/files/2022-oas
sec.gov/files/2022-oas
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We charged former CEO of McDonald’s Stephen J. Easterbrook with making false & misleading statements to investors regarding his termination. McDonald’s also was charged for shortcomings in public disclosures related to Easterbrook’s separation agreement.
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Today we charged Randy Robertson, a former portfolio manager at BlackRock Advisors, LLC, for failing to disclose a conflict of interest when the fund he managed invested millions of dollars in a film company with which he had a relationship.
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New year, new report! ICYMI our #SECSmallBiz team delivered its 2022 annual report on #capitalraising from #startup to #smallcap to Congress and the Commission.
Check it out 👉 sec.gov/files/2022-oas
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New year, new report! ICYMI our #SECSmallBiz team delivered its 2022 annual report on #capitalraising from #startup to #smallcap to Congress and the Commission.
Check it out 👉 sec.gov/files/2022-oas
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If you invested money in Fifth Third Bancorp common stock, ADS shares of Series F and Series G preferred stock, and related warrants between October 21, 2008 and January 22, 2009, you might be eligible for a payment.
See: FifthThird.FundAdministratorGBP.com for more details.
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Today we charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy Mossel, Linda Knott, and others for their involvement in a fraudulent investment scheme named CoinDeal that raised more than $45 million from sales of unregistered securities to thousands of investors worldwide.
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Today we announced fraud charges against Cooper J. Morgenthau, former CFO of African Gold Acquisition Corp, a SPAC, for orchestrating a scheme in which he stole more than $5 million from investors in the company and investors in two other SPACs.
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Would you like to ring in the new year with a comprehensive view of what’s happening in #capitalraising?
Check out our #SECSmallBiz team’s newly released 2022 annual report 👇
sec.gov/files/2022-oas
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Today we announced that former federal prosecutor Antonia M. Apps will become Regional Director of the New York Regional Office next month.
Ms. Apps previously served as an AUSA in SDNY’s Crim. Div. where she investigated and prosecuted securities fraud cases.
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Yesterday we announced that General Counsel Dan Berkovitz will depart the agency, effective Jan. 31, 2023. Megan Barbero, currently SEC Principal Deputy General Counsel, will be appointed General Counsel, effective upon Mr. Berkovitz’s departure.
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The SEC today charged Caroline Ellison and Gary Wang for their roles in a multiyear scheme to defraud equity investors in the crypto trading platform FTX. Ellison and Wang are cooperating with the ongoing investigation.
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Today we announced Sarah ten Siethoff has been named Deputy Director of the Division of Investment Management. Ms. ten Siethoff will also continue serving as the Associate Director of the Division’s Rulemaking Office.
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Today we charged Nader Pourhassan, the former CEO of biotech company CytoDyn Inc., with fraud & insider trading in connection with providing misleading information to shareholders about the progress of a clinical research treatment for COVID-19 and HIV.
sec.gov/news/press-rel
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