SEC New York
@NewYork_SEC
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The SEC’s New York Office covers NY, NJ. Disclaimer: https://t.co/qfwx4ibWHg
New York, NY
Joined July 2014
The SEC awarded more than $28 million to seven whistleblowers for valuable information that played a critical role in leading to a successful enforcement action. https://t.co/4PoBuOwq1C
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New Year, new goals? Is it time to rebalance your investment portfolio? It depends. Many investment professionals recommend rebalancing a portfolio regularly, typically every 6 to 12 months. https://t.co/udlfzeMtcY
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Chair Gensler breaks down the SEC’s resolutions for 2024. https://t.co/g1BxNYV6yA
S E Season’s Greetings from all of us @SECGov. In 2024 we plan to build on everything we worked on in 2023. Here’s a quick look at some of what we’re going to work on to ensure that the markets work for you, the investor:
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It’s a quick 10 questions to test your investing knowledge. Check out December’s Investing quiz. https://t.co/LFiWviq5Kt
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Take a listen to Chair Gensler speaking about how artificial intelligence (AI) is being used in the finance services industry. https://t.co/crl4prs0pt
Artificial intelligence truly is one of the most transformative technologies of our time. It has been used in finance for years. Watch a short clip from my discussion at The Messenger’s event on “AI: Balancing Innovation and Regulation.”
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Court grants SEC request for receiver over GPB Capital Holdings. https://t.co/oCSYduelIK
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SEC charges Tingo Mobile founder, Mmobuosi Odogwu Banye, and his three companies with massive fraud to inflate revenues, profits and cash balances by hundreds of millions of dollars. https://t.co/XR2Qz5kzeQ
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Investor Bulletin: Brokered CDs Advertisements for CDs with attractive yields have generated considerable interest. While CDs issued by insured banks are federally insured and generally considered safe, some CDs are more complex and may carry more risk. https://t.co/uTmHGng4ie
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Apply for summer internships today! The SEC will host the SEC Scholars Program during Summer 2024. The program targets currently enrolled students to participate in a paid 10-week internship. Deadline to apply: December 19th https://t.co/HjSWOgp1Kt
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Attention law school students. ⚖️ Apply now for the SEC Scholars Program during Summer 2024. The program targets currently enrolled students to participate in a paid 10-week internship. Application deadline: December 19th https://t.co/4l7Rz8RuZo
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SEC charges five unregistered brokers, four companies in widespread pre-IPO fraud scheme netting the defendants more than $88 million in illicit profits from undisclosed fees. https://t.co/YnqWwsr9F1
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Apply for summer internships today! The SEC will host the SEC Scholars Program during Summer 2024. The program targets currently enrolled students to participate in a paid 10-week internship. https://t.co/HjSWOgp1Kt
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New Investor Bulletin Important tips for service members or dependents to help make the most of one-time lump sum payments. https://t.co/hwvCrYVgFK
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SEC obtains judgment against former hedge fund trader for now-defunct NY-based investment adviser Premium Point Investments LP, related to hedge fund valuation scheme. https://t.co/lbXBppjzxH
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The SEC charges NY businessman with fraud and unregistered sales of securities to investors seeking permanent residency in the US. SEC also charges NY-based immigration attorney and her firm for role in sale of unregistered securities, raising $66 million. https://t.co/wTqxbd6d7x
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Take this month’s Investor Quiz. It’s a quick and easy way to test your investing knowledge. https://t.co/LFiWviq5Kt
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How does the SEC work? Learn about the Commission’s Division of Enforcement—and how it’s the cop on the beat to protect investors. More in Chair @GaryGensler Office Hours video. https://t.co/baFJcxtggl
Representing about 1/4 of @SECGov staff, our Division of Enforcement investigates possible wrongdoing in our markets, and when appropriate recommends that the SEC bring charges. The division’s lawyers also represents the SEC in court on behalf of the American people. Watch 🎥⬇️
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Make sure you know who you are dealing with when it comes to your money! 💰💰 Find out if you are dealing with a registered investment professional. https://t.co/ELveYE3a5J
Don’t let someone else live the life you’re saving for. Find out if you’re dealing with a registered investment professional at https://t.co/zPX8GFOSYv.
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Tracy Sivitz, Senior Counsel of the Market Abuse Unit, was a guest speaker for a Securities Regulation & Broker Dealer Compliance class at Fordham Law School.
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Representatives from the New York Regional Office attended the @QCToday Business Breakfast to network with students about summer internships. Keep an eye out! Internship applications should be posted soon.
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