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
"We have a basic bargain in our securities regime, which came out of Congress on a bipartisan basis under the Sarbanes-Oxley Act of 02. If you want to issue public securities in the US, the firms that audit your books have to be subject to inspection by @PCAOB_News." @GaryGensler
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Hear from our #SECSmallBiz advocate Martha Legg Miller and our OMWI Director Pam Gibbs at today's #CartaEquitySummit on the SEC’s role in expanding DE&I in capital formation and equity ownership. crt.cx/3Fo5FrL
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Our very own #SECSmallBiz advocate Martha Legg Miller & our OMWI Director Pam Gibbs will be joining @cartainc at the #CartaEquitySummit tomorrow at 5:15pm ET. They'll be discussing the SEC’s role in expanding DE&I in capital formation & equity ownership. crt.cx/3Fo5FrL
Public policy shapes the venture ecosystem, influencing capital formation, equity ownership, and DE&I. The SEC is doing critical work in all of these areas, led by Martha Miller and Pamela Gibbs. Tune in as Mac Conwell facilitates at #CartaEquitySummit: crt.cx/3Fo5FrL
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Today, we announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led to a successful enforcement action.
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Want to know if you’re ready to raise capital? Here are a few things to consider ⬇️ sec.gov/capitalraising
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Got your “CAPITAL” lined up and ready to navigate capital raising pathways? Check out our new Navigator tool: sec.gov/capitalraising/navig…
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GIF
We charged American Renal Associates Holdings Inc (ARA), a provider of dialysis services through clinics across the country, w/ engaging in a revenue manipulation scheme that resulted in the restatement of several years of financial reporting. ARA agreed to pay $2m civil penalty.
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The Division of Enforcement is seeking applicants to fill the position of Chief Litigation Counsel. The successful candidate will be assigned to the Office of Chief Litigation Counsel, Division of Enforcement. Apply here: go.usa.gov/xevuZ
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📣 We've just announced 📣 ➡️ Ernesto A. Lanza will serve as Acting Director of OMS ➡️ Rebecca J. Olsen will be Deputy Chief for the Division of Enforcement’s PFA Unit ➡️ Mark R. Zehner, who held the PFA role since July 2010, retires after 25 years of service Congrats!
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We charged the former Chief Financial Officer of pharmaceutical company Immunomedics, Inc. and his former romantic partner with insider trading in the company’s stock.
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Today we charged a Latvian citizen with digital asset fraud. Learn more:
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Today, we updated our list of unregistered entities that we found were providing inaccurate information about their affiliation, location, or registration.
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SEC retweeted
Does #NationalEntrepreneurshipMonth have you thinking about capital raising? Find tools and resources on the #SECSmallBiz team’s recently launched Capital Raising hub ⬇️
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Our staff released guidance for companies on how to properly recognize and disclose compensation cost for "spring-loaded awards" made to executives.
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Small businesses are the backbone of our great country. There are so many ways to #ShopSmall this #SmallBusinessSaturday. If you plan on investing in a small business, as with all your investment ventures - make sure you are prepared.
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We would like to send warm wishes and a Happy Thanksgiving to you!
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📆 Join our Investor Advisory Committee for a virtual meeting on Dec. 2 . 📆   The committee will cover topics regarding:   💬 crypto and digital assets 💬 our potential role in addressing elder financial abuse issues 💬 recommendations regarding individual retirement accounts
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Today, we charged an Oilfield Services Company and its former CEO with failing to disclose executive perks and stock pledges.
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