Chicago Regional Office - SEC.gov
Sep 18, 2024 · The Chicago Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment …
Cumberland DRW LLC - SEC.gov
Oct 10, 2024 · According to the SEC’s complaint, since at least March 2018 through the present, Cumberland has acted as an unregistered dealer by buying and selling crypto assets offered …
Regional Offices - SEC.gov
Regional OfficesLast Reviewed or Updated: Sept. 13, 2024
Document - SEC.gov
Pursuant to the requirements of the Securities Act of 1933, this Registration Statement has been signed below by the following persons in the capacities and on the date indicated.
k-20240426 - SEC.gov
Apr 26, 2024 · Item 5.07. Submission of Matters to a Vote of Security Holders. a) On April 26, 2024, the Company held its 2024 Annual Meeting. b) Carter Cast, Zack Gund, Don Knauss …
In its petition, the Commission may move this Court to consider all available remedies, including, but not limited to, ordering Defendant to pay funds or assets, directing the forfeiture of any …
SEC Speech: Remarks at the Security Traders Association of …
Jan 23, 2009 · Also as part of the Commission's September emergency order, the Commission made immediately effective a rule requiring that institutional money managers provide the …
COMPLAINT Plaintiff United States Securities and Exchange Commission ( SEC ) alleges as follows:
SEC Speech: Structured Finance Activities: The Regulatory …
Sep 20, 2006 · Therefore, the U.S. Securities and Exchange Commission (SEC) and the self-regulatory organizations (SROs) are focusing attention on sales of structured products.
Careers at the Securities and Exchange Commission - SEC.gov
The U.S. Securities and Exchange Commission (SEC) is seeking the best and brightest talent to help strengthen our workforce to better serve as the investor's advocate.