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.
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SEC Spotlights Due Diligence during World Investor Week 2023
on October 2, 2023 at 3:00 pm
The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023, which takes place October 2-8. Arising technologies and new digital tools are making it…
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SEC, MSRB, & FINRA to Hold Virtual Compliance Outreach Program
on September 29, 2023 at 7:00 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…
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SEC Proposes Tailored Registration Form for Offerings of Registered Index-Linked Annuities
on September 29, 2023 at 5:35 pm
The Securities and Exchange Commission today proposed tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs). The amendments would highlight key information about RILAs, allow insurance…
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SEC Charges International Accounting Firm Prager Metis with Hundreds of Auditor Independence Violations
on September 29, 2023 at 3:30 pm
The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, (together, Prager) for violating auditor independence rules and for aiding…
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SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule
on September 29, 2023 at 2:30 pm
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. E. Shaw & Co., L.P. for raising impediments to whistleblowing by requiring employees to sign agreements prohibiting the…
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SEC Charges 10 Firms with Widespread Recordkeeping Failures
on September 29, 2023 at 1:15 pm
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and…