SEC 新闻稿 10月9日 14:59
美国证券交易委员会提议扩大注册基金可适用交叉交易规则的证券范围
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
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2026年10月9日星期五 · 11 篇报告
SEC报告
SEC 新闻稿 10月6日 20:30
SEC就前Western Asset联席CIO Ken Leech挑樱桃案寻求终局判决
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
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SEC 新闻稿 10月6日 14:37
SEC 将为投资公司及投资顾问举办虚拟全国合规外展研讨会
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
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SEC 新闻稿 10月5日 12:47
SEC 协同全球金融监管机构在世界投资者周发布反欺诈联合投资者公告
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
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SEC 新闻稿 10月1日 16:16
SEC提出加密资产托管新规：投资顾问与基金获定制化托管框架
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
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SEC 新闻稿 10月1日 15:03
SEC 检查部门发布新版检查手册:程序性更新,无新增交易机会
SEC’s Division of Examinations Announces New Exam Handbook
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SEC 新闻稿 9月30日 18:30
SEC指控Meyer Global Management及其CEO在持有SpaceX及其他Pre-IPO证券的私募基金中
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
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SEC 新闻稿 9月30日 16:42
SEC起诉两名个人策划针对退伍军人的欺诈计划
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
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SEC 新闻稿
◆ 50 9月30日 15:45
SEC提议扩大私募市场对零售投资者负责任开放之规则修订案
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
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SEC 新闻稿 9月29日 13:55
SEC 起诉多家涉案至少 1500 万美元、利用 WhatsApp 等平台诱骗投资者的欺诈实体
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors
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SEC 新闻稿 9月28日 17:46
SEC 对注册投资顾问 Zoe Financial 因未披露利益冲突提起已和解执法指控
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
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