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  • Protecting U.S. Investors from Financing Communist Chinese Military Companies

    U.S. Secretary of State issues Statement addressing Protecting U.S. Investors from Financing Communist Chinese Military Companies | site |


    (Information contained in U.S. Department of State press release press statement dated: December 28, 2020)


    December 28, 2020
    Press Statement by:
    U.S. Secretary of State Michael R. Pompeo

    President Trump took decisive action last month to protect American investors and pension holders from funding Communist Chinese military companies (CCMCs) through Executive Order (13959) Addressing the Threat from Securities Investments that Finance Communist Chinese Military Companies. The Trump Administration is coordinating closely to counter the threat these companies present to the economy and national security of the United States. Today, the Treasury Department noted that Executive Order 13959 prohibits the ownership of any CCMC shares by exchange-traded funds (ETFs) and
    ...
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  • U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors

    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors | site |



    Enhanced Website Improves Main Street Investor Experience



    (February 24, 2020) - - Today (February 24, 2020), the U.S. Securities and Exchange Commission (SEC) published the following information:

    Washington D.C., Feb. 24, 2020 — The Securities and Exchange Commission today announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list by adding 25 soliciting entities and four fictitious regulators. Additionally, the SEC is announcing enhancements to the PAUSE website, where the SEC provides the list of entities that falsely claim to be registered, licensed, and/or located in the United States, as well as entities that impersonate genuine U.S. registered securities firms and fictitious regulators, governmental agencies, or international organizations. This will allow Main Street
    ...
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  • U.S. Securities and Exchange Commission's New Strategic Plan Puts Investors, Innovation, and Performance at Top

    U.S. Securities and Exchange Commission's New Strategic Plan Puts Investors, Innovation, and Performance at Top




    Washington, DC - - (October 11, 2018) - - The Securities and Exchange Commission (SEC) today announced a new strategic plan to guide the agency’s work over the next four years with a primary focus on investors, innovation, and performance. The plan’s goals reflect the agency’s commitment to its longstanding mission while leveraging the opportunities and addressing the challenges that come from fast-evolving markets, products and services. "Our new strategic plan is a concise, straight-forward explanation of the goals that will guide us as our markets evolve. It is based on the core values that have motivated the women and men of the SEC for over 80 years, including, most importantly, serving the interests of our long term Main Street investors" stated SEC Chairman Ja...
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  • U.S Securities and Exchange Commission to Focus on Empowering Main Street Investors for 2018 World Investor Week

    U.S Securities and Exchange Commission to Focus on Empowering Main Street Investors for 2018 World Investor Week


    Joint Investor Bulletin Issued on Understanding Digital Assets and Online Investing



    Washington, DC - - (October 1, 2018) - - The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor Week, which takes place Oct. 1-7, 2018. SEC staff will emphasize both the basics of investing and savings as well as important emerging issues like the rise of initial coin offerings and digital assets, distributed ledger technology, and other innovations. World Investor Week is a global effort promoted by the International Organization of Securities Commissions (IOSCO), with regulators on six continents joining together for the second year to educate investors on how to be smart and avoid fraud. The
    ...
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  • U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors

    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors




    Washington, DC - - (August 6, 2018) - - The Securities and Exchange Commission (SEC) today announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, four impersonators of genuine firms, and nine bogus regulators.

    The updates by the SEC Division of Enforcement’s Office of Market Intelligence, in coordination with the SEC’s Office of Investor Education and Advocacy and the Office of International Affairs, are part of the agency’s continuing effort to protect retail investors.

    The SEC’s list of soliciting entities that have been the subject of investor complaints, known as the Public Alert: Unregistered Soliciting Entities (PAUSE) list, enables
    ...
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  • Staff Reporter 1
    Protecting U.S. Investors from Financing Communist Chinese Military Companies
    by Staff Reporter 1
    U.S. Secretary of State issues Statement addressing Protecting U.S. Investors from Financing Communist Chinese Military Companies | site |


    (Information contained in U.S. Department of State press release press statement dated: December 28, 2020)


    December 28, 2020
    Press Statement by:
    U.S. Secretary of State Michael R. Pompeo

    President Trump took decisive action last month to protect American investors and pension holders from funding Communist Chinese military companies (CCMCs) through Executive Order (13959) Addressing the Threat from Securities Investments that Finance Communist Chinese Military Companies. The Trump Administration is coordinating closely to counter the threat these companies present to the economy and national security of the United States. Today, the Treasury Department noted that Executive Order 13959 prohibits the ownership of any CCMC shares by exchange-traded funds (ETFs) and
    ...
    12-29-2020, 06:38 AM
  • Staff Reporter 1
    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors
    by Staff Reporter 1
    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors | site |



    Enhanced Website Improves Main Street Investor Experience



    (February 24, 2020) - - Today (February 24, 2020), the U.S. Securities and Exchange Commission (SEC) published the following information:

    Washington D.C., Feb. 24, 2020 — The Securities and Exchange Commission today announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list by adding 25 soliciting entities and four fictitious regulators. Additionally, the SEC is announcing enhancements to the PAUSE website, where the SEC provides the list of entities that falsely claim to be registered, licensed, and/or located in the United States, as well as entities that impersonate genuine U.S. registered securities firms and fictitious regulators, governmental agencies, or international organizations. This will allow Main Street
    ...
    02-27-2020, 08:14 PM
  • Staff Reporter 1
    U.S. Securities and Exchange Commission's New Strategic Plan Puts Investors, Innovation, and Performance at Top
    by Staff Reporter 1
    U.S. Securities and Exchange Commission's New Strategic Plan Puts Investors, Innovation, and Performance at Top




    Washington, DC - - (October 11, 2018) - - The Securities and Exchange Commission (SEC) today announced a new strategic plan to guide the agency’s work over the next four years with a primary focus on investors, innovation, and performance. The plan’s goals reflect the agency’s commitment to its longstanding mission while leveraging the opportunities and addressing the challenges that come from fast-evolving markets, products and services. "Our new strategic plan is a concise, straight-forward explanation of the goals that will guide us as our markets evolve. It is based on the core values that have motivated the women and men of the SEC for over 80 years, including, most importantly, serving the interests of our long term Main Street investors" stated SEC Chairman Ja...
    10-13-2018, 02:25 PM
  • Staff Reporter 1
    U.S Securities and Exchange Commission to Focus on Empowering Main Street Investors for 2018 World Investor Week
    by Staff Reporter 1
    U.S Securities and Exchange Commission to Focus on Empowering Main Street Investors for 2018 World Investor Week


    Joint Investor Bulletin Issued on Understanding Digital Assets and Online Investing



    Washington, DC - - (October 1, 2018) - - The Securities and Exchange Commission today announced that empowering Main Street investors will be the SEC’s focus during World Investor Week, which takes place Oct. 1-7, 2018. SEC staff will emphasize both the basics of investing and savings as well as important emerging issues like the rise of initial coin offerings and digital assets, distributed ledger technology, and other innovations. World Investor Week is a global effort promoted by the International Organization of Securities Commissions (IOSCO), with regulators on six continents joining together for the second year to educate investors on how to be smart and avoid fraud. The
    ...
    10-02-2018, 07:09 PM
  • Staff Reporter 1
    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors
    by Staff Reporter 1
    U.S. Securities and Exchange Commission Updates List of Firms Using Inaccurate Information to Solicit Investors




    Washington, DC - - (August 6, 2018) - - The Securities and Exchange Commission (SEC) today announced that it has updated its list of unregistered firms that use misleading information to primarily solicit non-U.S. investors, adding 16 soliciting entities, four impersonators of genuine firms, and nine bogus regulators.

    The updates by the SEC Division of Enforcement’s Office of Market Intelligence, in coordination with the SEC’s Office of Investor Education and Advocacy and the Office of International Affairs, are part of the agency’s continuing effort to protect retail investors.

    The SEC’s list of soliciting entities that have been the subject of investor complaints, known as the Public Alert: Unregistered Soliciting Entities (PAUSE) list, enables
    ...
    08-09-2018, 07:46 PM

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