We filed settled charges against Plutus Lending LLC, which does business as Abra, for failing to register the offers & sales of its retail crypto asset lending product, Abra Earn. The SEC also charged Abra w/ operating as an unregistered investment co. sec.gov/newsroom/press…

We announced settled charges against NY-based Sound Point Capital Management LP for compliance failures in handling of nonpublic information related to its trading of collateralized loan obligations. sec.gov/newsroom/press…

The SEC’s Office of Minority & Women Inclusion will host monthly “Vendor Outreach Day” meetings for diverse vendors to meet procurement officials, share their capabilities & learn about opportunities. Next VOD 9/10 Register by 9/3 Learn more: sec.gov/omwi/supplier-…

We obtained emergency asset freezes against Jonathan Adam, his brother Tanner Adam, & their respective entities, GCZ Global LLC & Triten Financial Group LLC, to halt an alleged $60M Ponzi scheme impacting more than 80 investors across the country. sec.gov/newsroom/press…

Today we announced that Austal USA LLC, a Mobile, Alabama-based shipbuilder, and its Australia-based parent company, Austal Limited, have agreed to settle accounting fraud charges. sec.gov/newsroom/press…

Today we announced fraud charges against China-based QZ Asset Management Ltd, its CEO, and its South Dakota-based holding company. sec.gov/newsroom/press…

Today the SEC adopted amendments to reporting requirements on Form N-PORT to provide the Commission and investors with more timely information about certain registered investment companies (funds). More: sec.gov/newsroom/press…

Fraudsters use persuasion techniques to try and scam investors. Watch out for:  ⚠️ “Everyone is buying it” pitches ⚠️ Pressure to buy or invest now  ⚠️ Small favors that make you feel obligated  Learn more about what you can do to avoid fraud: investor.gov/protect-your-i…

Scammers often use innovations and emerging technologies like #crypto to perpetrate investment scams. Learn about five ways fraudsters may lure victims into scams involving crypto asset securities: investor.gov/crypto-scams

Making and sticking with an investment plan can help keep you on track to reach your investment goals. The Investor.gov Roadmap to Saving and Investing can help you get started: investor.gov/introduction-i…

Galois Capital, former RIA for a private fund that primarily invested in crypto assets, settled charges for failing to safeguard client assets by holding certain crypto assets offered and sold as securities on platforms that were not qualified custodians. sec.gov/newsroom/press…

Today we charged Maria Dickerson and her two companies with operating a $7 million Ponzi scheme that targeted the Filipino-American community across the U.S. sec.gov/newsroom/press…

Today we announced settled charges against ClearPath Capital Partners LLC for failing to comply with requirements related to the safekeeping of client assets & for its use of impermissible liability disclaimers in its advisory & private fund agreements. sec.gov/newsroom/press…

Today we announced charges against six nationally recognized statistical rating organizations for significant failures by the firms and their personnel to maintain and preserve electronic communications. sec.gov/newsroom/press…

AI washing, whether it’s by companies raising money or financial intermediaries, like investment advisers and broker-dealers, may violate the securities laws. Let's discuss the 1957 Tony award-winning musical The Music Man, AI, and U.S. Securities and Exchange Commission:

Our Office of Minority and Women Inclusion is collecting responses to the 2024 Diversity Self-Assessment Tool. Questions about submitting your entities 2024 Diversity Self-Assessment Tool? More: sec.gov/newsroom/press… Submissions accepted through 9/30.

Test your knowledge with the Investor.gov September Investing quiz! investor.gov/additional-res…

We charged broker-dealer Nationwide Planning and two affiliated investment advisers for impeding brokerage customers and advisory clients from reporting securities law violations to the SEC. sec.gov/newsroom/press…

Today we announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufacturer. sec.gov/newsroom/press…

Today we announced settled charges against Esmark Inc. and its founder, chairman, and former CEO James Bouchard for publicly announcing a false tender offer to purchase U.S. Steel Corp. sec.gov/newsroom/press…