The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to… Full report at: Read More

The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural persons. … Full report at: Read More

The Securities and Exchange Commission today provided a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act and from reporting on Form SHO. As a result of the exemption, filings on initial Form SHO reports from… Full report at: Read More

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s executive staff, which will advise the Acting Chairman on matters before the Commission and work closely with SEC staff. Gabriel Eckstein, Chief of Staff Steven… Full report at: Read More

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 25, 2025, which will include discussion of capital raising challenges facing emerging fund managers… Full report at: Read More

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda has named Natalia Díez Riggin as Senior Advisor and Acting Director of the Office of Legislative and Intergovernmental Affairs.   “I’m thrilled that Natalia has… Full report at: Read More

The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these amendments, which was… Full report at: Read More

The Securities and Exchange Commission’s Office of Credit Ratings (OCR) today published its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs) summarizing the findings of the NRSRO examinations and discussing… Full report at: Read More

The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s selections for several senior roles in acting capacities across the Commission to fill vacancies created by recent departures.  “These talented individuals are… Full report at: Read More

Today SEC Acting Chairman Mark T. Uyeda launched a crypto task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets. Commissioner Hester Peirce will lead the task force. Richard Gabbert, Senior Advisor to the… Full report at: Read More