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 the Division of Enforcement. “Kurt is an experienced accountant with deeply technical knowledge and international experience, and we are lucky he has decided to return to the...
2025-06-13 10:26 AM EDT
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 and investment management firms while advising fund managers and sponsors on regulatory compliance. For the past four years, he has been a partner in the...
2025-06-13 9:36 AM EDT
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. Atkins. “He brings decades of industry experience in market structure and across multiple asset classes to this critical role. I look forward to working with him to protect...
2025-06-13 9:03 AM EDT
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 amendments was originally March 12, 2025, but was previously extended to June 12, 2025. Form PF is the confidential reporting form for certain SEC-registered investment advisers to...
2025-06-11 6:25 PM EDT
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. The event will be open to the public and webcast live on the SEC’s website. Doors will open at noon ET. For in-person attendance, registration is required. The number of in-person...
2025-06-11 3:35 PM EDT
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 assets to the SEC throughout her long and distinguished career,” said SEC Chairman Paul S. Atkins. “I am grateful for her strategic counsel since...
2025-06-10 10:19 AM EDT
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 Swiss Financial Market Supervisory Authority (FINMA) regarding (1) the ability of FINMA-supervised, SEC-registered investment...
2025-06-10 9:37 AM EDT
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 solicits public input on whether the definition of foreign private issuer should be amended in light of significant changes in the...
2025-06-04 2:42 PM EDT
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 that Natalia will continue to lead this important office and serve as our primary liaison to Congress and other federal agencies as well as state governments,”...
2025-06-02 12:16 PM EDT
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 panels: Engaging with Beneficial Owners: Exploring Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; and Beyond the GAAP: Market Perspectives on Non-GAAP Financial...
2025-05-29 1:34 PM EDT
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 valuable information on how capital is being raised in the United States particularly by smaller issuers. During the periods reviewed...
2025-05-28 2:40 PM EDT
SEC Announces Agenda, Panelists for Roundtable on Crypto DeFi
Washington, D.C.--(Newsfile Corp. - May 28, 2025) - The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its June 9 roundtable, “DeFi and the American Spirit.” “DeFi exemplifies the promise of crypto, as it allows people to interact without intermediaries,” said Commissioner Hester M. Peirce, head of the Crypto Task Force. “I look forward to learning from the panelists about how we can create a regulatory environment in which DeFi can thrive.”...
2025-05-28 1:13 PM EDT
SEC's Division of Investment Management to Host Third Annual Conference on Emerging Trends in Asset Management
Washington, D.C.--(Newsfile Corp. - May 27, 2025) - The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference on Emerging Trends in Asset Management on Thursday, June 5, 2025. The conference will bring together a variety of asset management industry participants, regulators, and academics to discuss emerging trends in asset management. The full agenda, with a list of speakers, is available at the conference’s webpage....
2025-05-27 2:31 PM EDT
SEC Charges Former Real-Estate Investment CEO with Operating Multimillion Dollar Ponzi-Like Scheme
Washington, D.C.--(Newsfile Corp. - May 22, 2025) - The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling them fake interests in real estate investment limited partnerships. Many of these investors were retired senior citizens Mattson met through his church community. According to the SEC’s complaint,...
2025-05-22 4:41 PM EDT
Unicoin, Top Executives Charged in Offering Fraud That Raised More than $100 Million from Thousands of Investors
Washington, D.C.--(Newsfile Corp. - May 20, 2025) - The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and former Chief Investment Officer Alex Dominguez—for false and misleading statements in an offering of certificates that purportedly conveyed rights to receive crypto assets called Unicoin tokens...
2025-05-20 8:42 PM EDT
Katherine Reilly Named SEC Acting Inspector General
Washington, D.C.--(Newsfile Corp. - May 19, 2025) - The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. Ms. Reilly is currently serving as a Deputy Inspector General at the SEC. She replaces Deborah Jeffrey, who has served as the SEC’s Inspector General since 2023 and is retiring. “Our Inspector General’s office champions transparency and seeks to root out redundancy and overlap to ensure our agency is running as...
2025-05-19 7:57 PM EDT
SEC Announces Roundtable on Executive Compensation Disclosure Requirements
Washington, D.C.--(Newsfile Corp. - May 16, 2025) - The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. SEC Chairman Paul S. Atkins issued a statement today regarding the roundtable, including questions for the staff to consider. Members of the public are also encouraged to provide their views on these questions, either in advance or after the roundtable. The roundtable will be open...
2025-05-16 11:30 AM EDT
SEC Announces Agenda, Panelists for Roundtable on Tokenization Plus Date Change for Roundtable on DeFi
Washington, D.C.--(Newsfile Corp. - May 5, 2025) - The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its May 12 roundtable, “Tokenization — Moving Assets Onchain: Where TradFi and DeFi Meet.” “Tokenization is a technological development that could substantially change many aspects of our financial markets,” said Commissioner Hester M. Peirce, leader of the Crypto Task Force. “I look forward to hearing ideas from our panelists on how the SEC...
2025-05-05 9:03 AM EDT
SEC Charges Three Texans with Defrauding Investors in $91 Million Ponzi Scheme
Washington, D.C.--(Newsfile Corp. - April 29, 2025) - The Securities and Exchange Commission today announced charges against Dallas-Fort Worth residents Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner for operating a Ponzi scheme that raised at least $91 million from more than 200 investors. According to the SEC’s complaint, between approximately May 2021 and February 2024, Alexander and Welsh operated the scheme through a trust controlled by Alexander called Vanguard...
2025-04-29 4:42 PM EDT
SEC Publishes New Market Data, Analysis, and Visualizations
Washington, D.C.--(Newsfile Corp. - April 28, 2025) - The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new data and analysis on the key market areas of public issuers, exempt offerings, Commercial Mortgage-Backed Securities (CMBS), Asset-Backed Securities (ABS), money market funds, and security-based swap dealers (SBSD) in an effort to increase transparency and understanding of our capital markets amongst the public. “These reports reflect...
2025-04-28 2:29 PM EDT