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  • SEC Chair Gary Gensler’s End Of Term Video

    Date 18/01/2025

    Montage of Video Clips:

    I got to give props to the SEC.

    We are getting some breaking news here on GameStop.

    This hearing is entitled GameStopped.

    But, there are dark pools.

    We have 58% of American households that are invested in the stock market.

    Our agency put out an agenda–50 or 55 items on it.

    Lowering risk in the system in the U.S. Treasury markets.

    What are these now, half-penny increments we might be experiencing?

  • Tehran Securities Exchange Weekly Market Snapshot, 15 January 2025

    Date 18/01/2025

    Click here to download Tehran Securities Exchange's weekly market snapshot.

  • SEC Announces Departure Of Acting Enforcement Director Sanjay Wadhwa

    Date 17/01/2025

    The Securities and Exchange Commission today announced that Sanjay Wadhwa, the Acting Director of the Division of Enforcement, will depart the agency, effective January 31, 2025, after more than 21 years of service with the Commission.

  • One Last Note To SEC Staff, SEC Chair Gary Gensler, Jan. 17, 2025

    Date 17/01/2025

    All,

    It has been an honor of a lifetime to serve alongside you at this remarkable agency.

    You, the SEC staff, are amongst some of the most professional and productive that I’ve worked with in my life—whether on Wall Street, in government, or in academia. Though I best not pick a favorite among the many roles in which I’ve had the privilege to serve, a distinguishing feature of this agency and you the staff is just how clearly you know, understand, and are truly dedicated to the agency’s mission.

  • SEC Charges Arete Wealth Broker-Dealer And Advisory Firms, Their Chief Compliance Officer, And Several Representatives In Connection With Illegal Securities Offering - One Additional Individual Agreed To Resolve The SEC’s Charges For Unregistered Broker Activity

    Date 17/01/2025

    The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Advisors LLC, an affiliated investment adviser, for fraud, registration violations, and aiding and abetting Arete Wealth Management’s recordkeeping violations. The SEC also charged Arete Wealth Advisors and its Chief Compliance Officer and General Counsel, UnBo (Bob) Chung, with various violations of the federal securities laws related to a coverup of the representatives’ allegedly fraudulent conduct and other compliance failures, and charged Arete Wealth Management with recordkeeping violations.

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