Investor Education - Entries from September 2020

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Friday, September 04. 2020

SEC Investor Advisory Committee to Hold Public Virtual Meeting September 24th

The SEC has announced that it will hold a virtual public meeting of its Investor Advisory Committee on September 24, 2020. The meeting is open to the public via live webcast from 10 am to 4 pm EDT and will be archived for later viewing on the SEC’s website. Continue reading "SEC Investor Advisory Committee to Hold Public..." »

Posted by

The Novaworks Team

in Events, Investor Education, SEC at 10:02

Thursday, September 03. 2020

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

On August 31st, the SEC revised its list of unregistered entities using misleading data to solicit primarily non-US investors. Twenty-three soliciting entities, eight impersonators of legitimate securities firms, and seven phony regulators have been added to the the Public Alert: Unregistered Soliciting Entities (PAUSE) list.
Continue reading "SEC Updates List of Firms Using Inaccurate..." »

Posted by

The Novaworks Team

in Investor Education, SEC at 16:30

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