The following SEC RSS feeds are a helpful online resource for staying current on the most recent materials posted to the SEC website, including EDGAR filings. Most current browsers include an RSS component, allowing the user to subscribe to and aggregrate feeds. For more information on using RSS, see RSS Feeds from USA.gov.
Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information.
-
Tai Mo Shan to Pay $123 Million for Negligently Misleading Investors About Stability of Terra USD
on December 20, 2024 at 10:25 pm
The Securities and Exchange Commission today charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD (UST), a purported “algorithmic stablecoin” issued by Terraform Labs PTE Ltd. (Terraform), when UST dropped from its…
-
SEC Adopts Rule Amendments to the Broker-Dealer Customer Protection Rule
on December 20, 2024 at 9:05 pm
The Securities and Exchange Commission today adopted amendments to Rule 15c3-3 (the customer protection rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and other…
-
SEC Files Settled Charges Against Multiple Entities for Failing to Timely File Forms D in Connection With Securities Offerings
on December 20, 2024 at 4:00 pm
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in violation of Rule 503 of Regulation D.…
-
SEC Charges Silver Point Capital with Policy Failures Regarding Receipt of Material Nonpublic Information About Bonds Issued by Puerto Rico
on December 20, 2024 at 2:55 pm
The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic…
-
Deutsche Bank Subsidiary to Pay $4 Million for Untimely Filing Certain Suspicious Activity Reports
on December 20, 2024 at 2:14 pm
The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious Activity Reports (SARs) in a timely manner. Deutsche Bank Securities has…
-
Wells Fargo and LPL Financial Charged for Submitting Deficient Trading Data to SEC
on December 20, 2024 at 2:00 pm
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC.…