The SEC protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation. Disclaimer: ow.ly/5hB230oHjhr

Washington, DC
Joined December 2008
Pinned Tweet
‼️ New Twitter Alert ‼️ SEC Chair Gary Gensler is on Twitter! Be sure to follow him 👉 @GaryGensler 👈
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Today we announced charges to two companies and their principals with misleading investors in more than a dozen oil and gas securities offerings. Read more: ow.ly/lEKH30rV3tF
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Did you know, the median later-stage funding round w/ “crossover” investors (mutual funds/other investors that traditionally focus on public companies) is $57.6M, but the median w/o “crossover” investors is only $2.9M? Want to learn more? ⬇️ sec.gov/news/press-release/2… #SECSmallBiz
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Tune into our LIVE webcast on Monday between 10am & 2:30pm! The SEC’s Small Biz Capital Formation Advisory Committee will meet virtually and will be exploring funding trends with “crossover” investors in late-stage, pre-IPO funding rounds. sec.gov/news/press-release/2… #SECSmallBiz
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Today we announced an award to a whistleblower of approx. $36 million for providing crucial information on an illegal scheme. Whistleblower awards can range from 10-30% of the money collected when the monetary sanctions exceed $1 million. Learn more: ow.ly/m4Nf30rV1lb
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Today, we announced that London-based WPP plc, the world’s largest advertising group, has been charged for violations to the Foreign Corrupt Practices Act (FCPA). Read more: ow.ly/lNYz30rV0tz
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Mark your calendars! 📆 Sept. 27 at 9:30am ET 📆 We just released the agenda for our virtual Asset Management Advisory Committee meeting. The meeting is open to the public. We hope you join us. For more information ⬇️ ow.ly/tUN750GfCOf
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Today, we charged principals of subprime automobile finance company w/ fraud. “This case reflects our continued and resolute commitment to policing offerings in this space” said Osman Nawaz, Acting Chief of the SEC’s Complex Financial Instruments Unit. sec.gov/news/press-release/2…
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📢 First-ever SEC cases enforcing Municipal Securities Rulemaking Board Rule G-42 📢 We charged a municipal advisor, w/ violating duties, engaging in unregistered municipal advisory activities, & related misconduct w/ respect to charter school clients. ow.ly/qq1U50GfqjK
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Today we filed two complaints charging four individuals and five entities. We're also seeking an order to freeze the assets of seven of the defendants and one relief defendant. Learn more: ow.ly/7S5y50GfoxX
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Join us 👉 TODAY at 2pm ET 👈 at our internship info session! We'll be talking about our application process & some opportunities in our Office of International Affairs & Division of Trading & Markets. eventbrite.com/e/spring-2022…
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As alleged on nearly 3,000 occasions, the Quant Analyst bought or sold a stock on the same side of the market as his employers before they executed trades in the same stock for their fund clients. We use data analysis tools to detect suspicious patterns. ow.ly/CC7850GfhuC
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Job Alert! The Division of Investment Management (IM) seeks to fill two Attorney-Adviser positions in Washington, DC. For more information and to apply, click here: go.usa.gov/xM9z9
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Join us on Thursday, Sept 23rd at 2pm ET. Our Office of Minority & Women Inclusion is hosting an internship info session! We'll highlight our app process & feature opportunities in our Office of International Affairs & Division of Trading & Markets. bit.ly/SECInternship
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Today we announced charges against Green Mining LLC and its two managing members for participating in a fraudulent & unregistered offering in a purported “green” mining venture. The offering was part of a scheme that raised approx. $2.7 million. 👉 ow.ly/W6sP30rUDSE
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Our Small Business Capital Formation Advisory Committee will meet virtually on Monday, Sept. 27. Join us virtually from 10 am to 2:30 pm ET on our website. More about this meeting: ow.ly/Aujc30rUDmS
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Today, our Division of Examinations and Office of Municipal Securities (OMS), @MSRB_News, and @FINRA announced the opening of registration for the 2021 Compliance Outreach Program for Municipal Advisors. Get all the info 👇 ow.ly/bA5Z50GdcKx
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Today we charged three individuals and one issuer with conducting a fraudulent scheme to sell nearly $2 million of unregistered securities through two crowdfunding offerings. Learn more: ow.ly/6XTE30rUvN7
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