Thank You for contacting us about your Compliance Software.
One of our representatives will be in touch with you shortly.
- SEC Approves Revised Privacy Act Ruleon September 20, 2023 at 9:00 pm
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government. The final rule […]
- SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Nameson September 20, 2023 at 5:20 pm
The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely to mislead investors about a fund’s investments and risks. The amendments modernize and […]
- SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Communityon September 19, 2023 at 3:06 pm
The Securities and Exchange Commission today charged Richmond, California resident Tilila Walker Sumchai with raising approximately $11.8 million from more than 1,000 investors through a fraudulent securities offering targeting members of the […]
- SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Officialon September 19, 2023 at 3:01 pm
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy […]
- SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meetingon September 19, 2023 at 1:55 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public, in-person, meeting on September 21 at 10 a.m. ET at the SEC Headquarters in Washington, D.C. The meeting will also be webcast on the SEC website.The […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Feed has no items.