The SEC protects investors, maintains fair, orderly, and efficient markets, and facilitates capital formation. Disclaimer:

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Chairman Jay Clayton and Colonel James Tuite of the U.S. Army’s “Old Guard” will chat about financial readiness during a #VeteransDay  event tomorrow. Details:

Our latest Risk Alert provides investment companies and investors with info on the most often cited deficiencies and weaknesses observed in exams of registered investment companies

Honoring the brave men and women who have served our country. #VeteransDay  #Thankyouforyourservice 

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SEC wins jury trial in layering, manipulative trading case

Our investor education office and Retail Strategy Task Force released an educational video to help show what fraud looks like. Check it out.

We partnered with @Morehouse  for a first-of-its-kind event, featuring conversations with minority entrepreneurs and investors on #capitalraising  and #entrepreneurship  success. Check it out: #SECsmallbiz  #minorityentrepreneurship 


Our framework for determining whether a digital asset is a security: #FinHubSEC  #Crypto  #DLT  #Blockchain  #FinTech 

This year's exam priorities will focus on digital assets, cybersecurity, and matters of importance to Main Street investors. Details on our five priority categories:

SEC Issues Order of Suspension of Trading in Bitcoin Tracker One (“CXBTF”) and Ether Tracker One (“CETHF”)

SEC orders blockchain company to pay $24 million penalty for unregistered ICO

Statement on digital asset securities issuance and trading from our Divisions of Corporation Finance, Investment Management and Trading and Markets

SEC staff to hold #Fintech  Forum to discuss distributed ledger technology and digital assets #secfintec 

We’re hosting a #fintech  forum on May 31 to discuss distributed ledger technology and digital assets. Here’s the agenda: #finhubsec 

Statement: Statement on Cryptocurrencies and Initial Coin Offerings