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Official announcements from the United States Securities and Exchange Commission (SEC) highlighting recent actions taken by the Agency and other newsworthy information. Searches will return results from stories up to two years old.

SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme
Washington, D.C.--(Newsfile Corp. - July 10, 2025) - The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in connection with a Ponzi...
Banking/Financial Services
2025-07-10 7:01 PM EDT | Newsfile SEC Press Digest
SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A
Washington, D.C.--(Newsfile Corp. - July 7, 2025) - The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the public,...
Banking/Financial Services
2025-07-07 10:08 AM EDT | Newsfile SEC Press Digest
SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
Washington, D.C.--(Newsfile Corp. - June 26, 2025) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs).Today’s reports provide the public with information about the changes in broker-dealer and M&A...
Banking/Financial Services
2025-06-26 11:10 AM EDT | Newsfile SEC Press Digest
SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
Washington, D.C.--(Newsfile Corp. - June 25, 2025) - The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require certain broker-dealers to increase...
Banking/Financial Services
2025-06-25 5:55 PM EDT | Newsfile SEC Press Digest
SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026
Washington, D.C.--(Newsfile Corp. - June 25, 2025) - The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026.As detailed in the report, the Investor Advocate’s priorities for fiscal year 2026 include:Investor research and tes
Banking/Financial Services
2025-06-25 1:58 PM EDT | Newsfile SEC Press Digest
Regulators to Hold Outreach Event for Municipal Market Professionals
Washington, D.C.--(Newsfile Corp. - June 25, 2025) - The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (FINRA) today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event to discuss compliance and regulatory matters directly...
Banking/Financial Services
2025-06-25 1:04 PM EDT | Newsfile SEC Press Digest
Kevin Muhlendorf Named SEC Inspector General
Washington, D.C.--(Newsfile Corp. - June 23, 2025) - The Securities and Exchange Commission today announced that Kevin Muhlendorf will be the agency’s new Inspector General, effective July 28. Mr. Muhlendorf is a former SEC and Justice Department attorney who for the past nine years has been a partner in the...
Banking/Financial Services
2025-06-23 3:14 PM EDT | Newsfile SEC Press Digest
SEC Announces Departure of David Saltiel
Washington, D.C.--(Newsfile Corp. - June 18, 2025) - The Securities and Exchange Commission today announced that David Saltiel, who has served as Acting Director of the Division of Trading and Markets, will depart the agency effective July 4, 2025. He has served as Acting Director since December 2024, and he...
Banking/Financial Services
2025-06-18 10:13 AM EDT | Newsfile SEC Press Digest
SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
Washington, D.C.--(Newsfile Corp. - June 13, 2025) - The Securities and Exchange Commission today announced that Erik Hotmire will return to the SEC as Chief External Affairs Officer and Director of the Office of Public Affairs, effective June 16, 2025. “I am delighted that Erik is coming back to the SEC...
Banking/Financial Services
2025-06-13 10:45 AM EDT | Newsfile SEC Press Digest
SEC Names Kurt Hohl as Chief Accountant
Washington, D.C.--(Newsfile Corp. - June 13, 2025) - The Securities and Exchange Commission today announced that Kurt Hohl, with nearly 40 years of accounting and auditing experience, has been named Chief Accountant, effective July 7, 2025. Acting Chief Accountant Ryan Wolfe will return to his role as Chief Accountant in...
Banking/Financial Services
2025-06-13 10:26 AM EDT | Newsfile SEC Press Digest
Brian Daly Named Director of Division of Investment Management
Washington, D.C.--(Newsfile Corp. - June 13, 2025) - The Securities and Exchange Commission today announced that investment management industry leader Brian T. Daly will become the new Director of the Division of Investment Management, effective July 8.Mr. Daly brings decades of experience serving in prominent roles at global law firms...
Banking/Financial Services
2025-06-13 9:36 AM EDT | Newsfile SEC Press Digest
SEC Names Jamie Selway as Director of Trading and Markets
Washington D.C.--(Newsfile Corp. - June 13, 2025) - The Securities and Exchange Commission today announced the appointment of Jamie Selway, an accomplished financial markets leader, as Director of the Division of Trading and Markets, effective June 17, 2025.“I’d like to welcome Jamie to the SEC,” said SEC Chairman Paul S....
Banking/Financial Services
2025-06-13 9:03 AM EDT | Newsfile SEC Press Digest
Further Extension of Form PF Amendments Compliance Date
Washington, D.C.--(Newsfile Corp. - June 11, 2025) - The Securities and Exchange Commission, together with the U.S. Commodity Futures Trading Commission, today voted to extend the compliance date until Oct. 1, 2025, for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these...
Banking/Financial Services
2025-06-11 6:25 PM EDT | Newsfile SEC Press Digest
SEC Announces Agenda and Panelists for Roundtable on Executive Compensation Disclosure Requirements
Washington, D.C.--(Newsfile Corp. - June 11, 2025) - The Securities and Exchange Commission today announced the agenda and panelists for the June 26, 2025, roundtable on executive compensation.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 1 p.m. – 5:35 p.m. ET....
Banking/Financial Services
2025-06-11 3:35 PM EDT | Newsfile SEC Press Digest
Natasha Vij Greiner Will Conclude Her Tenure as Director of Investment Management
Washington, D.C.--(Newsfile Corp. - June 10, 2025) - The Securities and Exchange Commission today announced that Natasha Vij Greiner, Director of the Division of Investment Management, will depart the agency effective July 4, 2025, after more than 23 years of public service.“Natasha’s steadfast leadership and strong judgment have been invaluable...
Banking/Financial Services
2025-06-10 10:19 AM EDT | Newsfile SEC Press Digest
SEC to Resume Processing of Registration Applications From Swiss-Based Investment Advisers
Washington, D.C.--(Newsfile Corp. - June 10, 2025) - The Securities and Exchange Commission announced today that it will immediately resume processing new and pending registration applications of investment advisers with their principal office and place of business in Switzerland. This announcement follows successful discussions between staff from the SEC and the...
Banking/Financial Services
2025-06-10 9:37 AM EDT | Newsfile SEC Press Digest
SEC Solicits Public Comment on the Foreign Private Issuer Definition
Washington, D.C.--(Newsfile Corp. - June 4, 2025) - The Securities and Exchange Commission today published a concept release soliciting public comment on the definition of foreign private issuer.Foreign private issuers benefit from certain accommodations and exemptions from the disclosure and filing requirements of the federal securities laws. The concept release...
Banking/Financial Services
2025-06-04 2:42 PM EDT | Newsfile SEC Press Digest
Natalia Diez Riggin Named Senior Advisor and Director of Legislative and Intergovernmental Affairs
Washington, D.C.--(Newsfile Corp. - June 2, 2025) - The Securities and Exchange Commission today announced that Natalia Díez Riggin has been named Senior Advisor and Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Riggin has been serving as Acting Director since joining the SEC in January.“I’m pleased...
Banking/Financial Services
2025-06-02 12:16 PM EDT | Newsfile SEC Press Digest
SEC Investor Advisory Committee to Examine Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; Discuss Market Perspectives on Non-GAAP Financial Disclosures at June 5 Meeting
Washington, D.C.--(Newsfile Corp. - May 29, 2025) - The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website.The committee will host two...
Banking/Financial Services
2025-05-29 1:34 PM EDT | Newsfile SEC Press Digest
SEC Publishes Data on Regulation A, Crowdfunding Offerings, and Private Fund Beneficial Ownership Concentration
Washington, D.C.--(Newsfile Corp. - May 28, 2025) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis has published three new reports that provide the public with information on capital formation and beneficial ownership of qualifying private funds.The first two papers—analyses of the Regulations A and Crowdfunding markets—provide...
Banking/Financial Services
2025-05-28 2:40 PM EDT | Newsfile SEC Press Digest

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