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SEC Charges Nine Investment Advisers In Ongoing Sweep Into Marketing Rule Violations, Firms Made Untrue Or Unsubstantiated Claims Or Lacked Required Disclosures
Date 09/09/2024
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, endorsements, or third-party ratings that lacked required disclosures. All nine firms have agreed to settle the SEC’s charges and to pay $1,240,000 in combined civil penalties.
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Remarks Before The 2024 AICPA & CIMA Conference On Banks & Savings Institutions: Accounting For Crypto-Asset Safeguarding Obligations—A Facts-Based Analysis, Paul Munter, SEC Chief Accountant, Sept. 9, 2024
Date 09/09/2024
Introduction
Thank you to the AICPA for inviting me to speak with you today. Let me begin by saying that I am here in my official capacity as the Chief Accountant of the U.S. Securities and Exchange Commission and the views I express here are my own and do not necessarily reflect those of the Commission, the Commissioners or other members of the staff.
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SEC Publishes Small Business Educational Resources About Income Statements And Balance Sheets
Date 09/09/2024
The Securities and Exchange Commission's Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets.
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Nodal Exchange To Launch New Carbon And REC Contracts In Collaboration With IncubEx
Date 09/09/2024
Nodal Exchange and IncubEx announced today the planned launch of a slate of new environmental futures contracts.
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EACH’s Women In Clearing Series – Inspiration With Elena Tonetto, EACH
Date 09/09/2024
Following the successful launch of the Women in Clearing Network, in March 2024 we launched EACH’s Women in Clearing Series, an initiative with the objective of featuring a key female leader on a regular basis to inspire other professionals in the industry.
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Modernizing Audit Firm Quality Control Standards, SEC Commissioner Jaime Lizárraga, Sept. 9, 2024
Date 09/09/2024
The Sarbanes-Oxley Act, enacted unanimously in the U.S. Senate and nearly unanimously in the U.S. House, explicitly required the PCAOB (“Board”) to establish, and modify, quality control (“QC”) standards. This important law required the Board to establish expert advisory boards to make recommendations on QC standards. When registering with the Board, auditing firms are required to include a statement on QC policies. And when inspecting audit firms, the Board is required to evaluate QC systems.
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SEC Approves A New PCAOB Quality Control Standard - New Standard Is Designed To Drive Registered Public Accounting Firms To Significantly Improve Their Quality Control Systems
Date 09/09/2024
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms.
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Euronext Announces Volumes For August 2024
Date 09/09/2024
Euronext, the leading pan-European market infrastructure, today announced trading volumes for August 2024.
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CFTC: Federal Court Orders Israeli Man To Disgorge $7 Million In Gains From Fraudulent Binary Options Scheme
Date 09/09/2024
The Commodity Futures Trading Commission today announced the United States District Court for the Northern District of Illinois entered a consent order requiring Yakov Cohen to disgorge $7 million in ill-gotten gains received from his participation in a fraudulent binary options scheme.
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Statement On Quality Control In Auditing, SEC Chair Gary Gensler, Sept. 9, 2024
Date 09/09/2024
Today, the Securities and Exchange Commission is considering whether to approve a final standard regarding the quality control systems of audit firms. I am pleased to approve this standard because it will improve the quality control systems of auditors, and thus better protect investors.