The SEC charged the beaxy.com crypto asset trading platform, its executives, and market makers operating on the platform with failure to register as required by law, as well as securities fraud and unregistered token offering claims against the founder of the platform, resulting in civil penalties and other remedies.
The SEC is hosting a two-day Municipal Securities Disclosure Conference on May 10, 2023 featuring senior SEC officials, issuers and investors to discuss voluntary disclosure practices, the impact of financial data transparency, ESG practices, and other topics in the municipal securities market.
The SEC announced settled charges against Spicer Jeffries LLP and an audit engagement partner, Sean P. Tafaro, for their improper professional conduct in connection with audits of two private funds.
The SEC has charged two industry professionals for allegedly abusing their positions and using non-public information to make illicit profits of over $3.4 million in the active SPAC market.
The SEC has awarded over $12 million to two whistleblowers who provided information and assistance that led to a successful enforcement action.
The SEC has charged three Austal USA LLC executives with orchestrating a fraudulent revenue recognition scheme to prematurely recognize revenue and meet or exceed analyst expectations.
The SEC encourages informed investing through their Investor.gov website, offering resources such as quizzes, videos, investment programs, and more specifically targeted at high school students, military members, Native Americans, older investors, women's groups, libraries, colleges and more.