Today, the Division of Examinations published a Risk Alert for registered investment companies that provides exam process insights, includes the types of documents & information typically requested & details exam observations in certain core review areas. https://lnkd.in/gBuC2dFy
U.S. Securities and Exchange Commission
金融服务
Washington，DC 145,201 位关注者
This account expresses the author's views only and not necessarily those of the Commission or other staff.
关于我们
The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The SEC's five main divisions are: ? Corporation Finance ? Trading and Markets ? Investment Management ? Enforcement ? Risk and Economic Analysis The SEC is looking for the brightest minds to solve difficult problems and help strengthen our team in order to better serve as the investor's advocate. We are currently seeking qualified applicants for numerous positions. Opportunities are located in the SEC's Washington, D.C. headquarters and in 11 regional offices in the United States. Disclaimer: https://ow.ly/5hB230oHjhr
- 网站
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https://www.sec.gov
U.S. Securities and Exchange Commission的外部链接
- 所属行业
- 金融服务
- 规模
- 1,001-5,000 人
- 总部
- Washington，DC
- 类型
- 政府机构
- 领域
- Financial Services、Federal Government和Compliance
地点
U.S. Securities and Exchange Commission员工
动态
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Join a discussion on careers at the U.S. Securities and Exchange Commission. Attorneys will discuss their career paths, internships, the significance of the SEC's mission, & the importance of Diversity, Equity, Inclusion, & Accessibility in the field of securities regulation & enforcement.
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The SEC’s Office of Minority & Women Inclusion will host monthly “Vendor Outreach Day” meetings for diverse vendors to meet procurement officials, share their capabilities & learn about opportunities. Next Vendor Outreach Day 11/12 Register by 11/4 Learn more: https://lnkd.in/dYVWK_Ys
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The Division of Examinations released its 2025 examination priorities. This year’s examinations will prioritize perennial and emerging risk areas, such as fiduciary duty, standards of conduct, cybersecurity, and artificial intelligence. https://lnkd.in/eCUMPjPh
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October is National Disability Employment Awareness Month #NDEAM! Our #SECSmallBiz team advocates for founders with disabilities. Do you know 6.3% of small businesses are owned by a person with a disability? Yet, 84% of disabled entrepreneurs note that they do not have the same access to opportunities and resources as non-disabled entrepreneurs. Despite these challenges, 58% of founders with a disability used their disability experience to develop and design innovative products and solutions. Find more #CapitalRaising trends, including data on underrepresented and diverse founders, in our #SECSmallBiz team’s 2023 Annual Report. #NDEAM https://lnkd.in/eQeXY9u4
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The SEC adopted changes to EDGAR filer access & account management (“EDGAR Next”). From September 30, 2024 through March 21, 2025, filers will be able to prepare for enrollment, and a Beta environment will be available for testing. Prepare now for EDGAR Next! Obtain Login.gov credentials, identify your account administrators, and gather access codes. Enrollment begins March 24, 2025. The EDGAR Business Office is available to help you understand, prepare, and make the transition to EDGAR Next. https://lnkd.in/ggqVPxjG
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Last week the #SECSmallBiz team engaged with small business community leaders, advisors, investors, and founders in the El Paso region and joined a Business Financial Literacy Accelerator event hosted by Borderplex Alliance and Pioneers 21 Business Incubator and Co-Work Space to introduce the Office and SEC resources for small businesses. Did you know… The rate of Hispanic/Latino adults starting or running a new business increased from 17% in 2021 to 27% in 2022. However, 22% of Hispanic/Latino entrepreneurs reported trouble finding professional support, advice, or role models in their network when starting and growing a business. And 41% of Hispanic/Latino entrepreneurs cite a lack of access to financial resources as the primary reason they stopped pursuing starting their business. Find more capital-raising trends, including data on diverse founders, in our #SECSmallBiz team’s 2023 Annual Report https://lnkd.in/eQeXY9u4 #HispanicHeritageMonth2024 #CapitalRaising
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Today we announced that Gurbir S. Grewal, Director of the Division of Enforcement, will depart the agency, effective Oct. 11, 2024. Upon Mr. Grewal’s departure, Sanjay Wadhwa, the Division’s Deputy Director, will serve as Acting Director. He has served as part of a remarkable leadership team as Deputy Director, has been with the agency for more than two decades, and is widely respected among his colleagues. Sam Waldon, the Division’s Chief Counsel, will serve as Acting Deputy Director. Sam has served as Chief Counsel for the Division of Enforcement since March 2022, and has provided sound advice to the Division and the Commission on critical legal issues. https://lnkd.in/gqeumDdx
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Join us for a discussion on careers at the SEC. Staff will discuss their career paths, the work they perform, internships, the significance of the SEC's mission to protect investors, and the continued importance of Diversity, Equity, Inclusion, and Accessibility (DEIA) in the field of securities regulation and enforcement.?Attendance is open to all college students. #Internship #SEC #PublicService #HBCU #Diversity #OMWI
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