SEC Charges Three Purported Crypto Asset Trading Platforms and Four Investment Clubs with Scheme That Targeted Retail Investors on Social Media
Washington, D.C.--(Newsfile Corp. - December 22, 2025) - The Securities and Exchange Commission today filed charges against purported crypto asset trading platforms Morocoin Tech Corp., Berge Blockchain Technology Co. Ltd., and Cirkor Inc. and investment clubs AI Wealth Inc., Lane Wealth Inc., AI Investment Education Foundation Ltd., and Zenith Asset Tech Foundation alleging that they defrauded retail investors out of more than $14 million in an elaborate investment confidence scam.
2025-12-22 5:13 PM EST | Newsfile SEC Press Digest
Joshua T. White Named SEC Chief Economist
Washington, D.C.--(Newsfile Corp. - December 17, 2025) - The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of Economic and Risk Analysis (DERA), which integrates financial economics and rigorous data analytics into the SEC’s core mission. Robert Fisher, who has served as the SEC’
2025-12-17 3:23 PM EST | Newsfile SEC Press Digest
SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
Washington, D.C.--(Newsfile Corp. - December 17, 2025) - The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year. The report includes: An update on the office’s investor research activities, including the issuance of a working pa
2025-12-17 1:34 PM EST | Newsfile SEC Press Digest
SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
Washington, D.C.--(Newsfile Corp. - December 10, 2025) - The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities offerings that raised more than $18 million from investors across the United States and abroad. Gauvin allegedly misappropriated approximately $6.3 million of investor funds
2025-12-10 4:02 PM EST | Newsfile SEC Press Digest
SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS
Washington, D.C.--(Newsfile Corp. - December 10, 2025) - The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements. The roundtable will be held at the University of Austin’s campus at the Scarbrough Building, located at 522 Congress Avenue, Austin, Texas, from 9 a.m. to 1 p.m. CT. The event will be open to the public and webcast live on
2025-12-10 1:45 PM EST | Newsfile SEC Press Digest
SEC Announces Departure of OIEA Director Lori J. Schock
Washington, D.C.--(Newsfile Corp. - December 8, 2025) - The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December. “I have known Lori for decades, when I was a Commissioner and now as Chairman, and I have witnessed firsthand her unwavering commitment to provide America’s investors with invaluable inform
2025-12-08 8:55 AM EST | Newsfile SEC Press Digest
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
Washington, D.C.--(Newsfile Corp. - December 5, 2025) - The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy. “New technologies give us a fresh opportunity to recalibrate financial surveillance measures to ensure the protection of our nation an
2025-12-05 12:36 PM EST | Newsfile SEC Press Digest
SEC to Host Webinar for Transfer Agents on Regulation S-P
Washington, D.C.--(Newsfile Corp. - December 5, 2025) - The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for Transfer Agents, is a webinar scheduled for Dec. 17 from 1 p.m. to 2 p.m. ET. The third event in the series, for small firms, will be announced at a later date. The Regulation S-P compliance outreach events are tailored for each re
2025-12-05 10:30 AM EST | Newsfile SEC Press Digest
Cristina Martin Firvida to Conclude Tenure as Investor Advocate
Washington, D.C.--(Newsfile Corp. - November 25, 2025) - The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As the Investor Advocate, Ms. Martin Firvida has led an office that was established by Congress to identify, analyze, and address the concerns of investors, providing them a voice and
2025-11-25 12:02 PM EST | Newsfile SEC Press Digest
SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
Washington, D.C.--(Newsfile Corp. - November 25, 2025) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host two panels: Regulatory Changes in Corporate Governance Tokenization of Equities: How Issuance, Trading, and Settlement Would Work with Existing Regulation The committee will also
2025-11-25 9:10 AM EST | Newsfile SEC Press Digest
SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
Washington, D.C.--(Newsfile Corp. - November 21, 2025) - The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy roundtable, previously scheduled for Oct., to Monday, Dec. 15, 2025. “I am looking forward to getting this event back on the calendar before the end of the year. Given the many threats to people’s privacy, developing sound policies is
2025-11-21 11:12 AM EST | Newsfile SEC Press Digest
SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin
Washington, D.C.--(Newsfile Corp. - November 21, 2025) - The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18, 2025, Roundtable on Trade-Through Prohibitions. The roundtable will be open to the public and held at the University of Austin’s campus at the Scarbrough Building,
2025-11-21 9:50 AM EST | Newsfile SEC Press Digest
SEC Division of Examinations Announces 2026 Priorities
Washington, D.C.--(Newsfile Corp. - November 17, 2025) - The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the Division plans to focus on in the new fiscal year and to encourage firms to direct their compliance efforts on areas of p
2025-11-17 4:17 PM EST | Newsfile SEC Press Digest
Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
Washington, D.C.--(Newsfile Corp. - November 13, 2025) - The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in her different roles in the Division of Enforcement and her commitment to the staff and the SEC’s mission,” said SEC Division of Enforcement Director Margaret A.
2025-11-13 3:14 PM EST | Newsfile SEC Press Digest
SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
Washington, D.C.--(Newsfile Corp. - October 31, 2025) - The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows: Rules 600(b)(89)(i)(F) and 612 of Regulation NMS implementing the amended minimum pricing increment: Until the first business day of November 2026. Rule 610(c)
2025-10-31 1:12 PM EDT | Newsfile SEC Press Digest
SEC Announces Departure of Director of Office of the Advocate for Small Business Capital Formation Stacey Bowers
Washington, D.C.--(Newsfile Corp. - September 30, 2025) - The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director since January 16, 2024. “I want to thank Stacey for the excellent work and leadership she has provided the Office of the Advocate for Small Business Capital Formation,”
2025-09-30 9:31 PM EDT | Newsfile SEC Press Digest
SEC Continues Efforts to Assist Market Participants During Implementation of Treasury Clearing Rules
Washington, D.C.--(Newsfile Corp. - September 30, 2025) - The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage that puts the latest status updates, staff statements, and other related materials at their fingertips. The SEC
2025-09-30 12:40 PM EDT | Newsfile SEC Press Digest
SEC Issues Order to Reduce Operating Costs of Consolidated Audit Trail
Washington, D.C.--(Newsfile Corp. - September 30, 2025) - The Securities and Exchange Commission today issued an order granting conditional exemptive relief related to certain requirements of the National Market System Plan governing the Consolidated Audit Trail (CAT NMS Plan), Rule 613 of Regulation NMS, and Rule 17a-1 under the Securities Exchange Act of 1934. This conditional exemptive relief allows the self-regulatory organizations that are the participants to the CAT NMS Plan to expediti
2025-09-30 11:22 AM EDT | Newsfile SEC Press Digest
SEC Seeks Public Comment to Improve Rules on Residential Mortgage-Backed Securities and Asset-Backed Securities
Washington, D.C.--(Newsfile Corp. - September 26, 2025) - The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally. The concept release notes there have been no public RMBS offerings since 2013, yet they are an important part of a
2025-09-26 3:45 PM EDT | Newsfile SEC Press Digest
SEC Announces Departure of Chief Operating Officer Ken Johnson
Washington, D.C.--(Newsfile Corp. - September 24, 2025) - The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two decades,” said Chairman Paul S. Atkins. “I have had the pleasure of knowing him both as a Commissioner and now as Chairman. He has served this agency and the countr
2025-09-24 3:36 PM EDT | Newsfile SEC Press Digest