Latest publications of SEC (U.S. Securities and Exchange Commission) with type, impact, dates and checks to consider, read from the official source every 15 minutes.
The SEC published an entry titled "NPB Financial Group, LLC" on 2026-11-06. The feed text contains only the name, and the page text is an unreadable binary PDF extract, so the nature of the publication cannot be determined from the material provided.
The source is an SEC publication titled 'Christopher Williams', published 2026-11-06. The feed and page text contain only a name and unreadable binary PDF data, so the document's substance cannot be determined.
The SEC publication titled 'Elizabeth Escoto' consists of a title and feed text bearing only a personal name, with a binary PDF page text that contains no readable regulatory content. The item does not appear to describe any rule, obligation, or enforcement action.
The SEC publication titled 'Reyna Guiffaro', dated 2026-11-04, is a title-only item. The feed text repeats the name, and the page text is unreadable binary PDF data with no extractable content, so the nature of the publication cannot be determined.
The SEC adopted amendments updating the asset-based thresholds that define registered investment companies, investment advisers and business development companies as small entities under the Regulatory Flexibility Act. The amendments increase the thresholds, change how related funds' assets are aggregated, eliminate the investment adviser total assets threshold, and provide for inflation adjustments by order every 10 years.
Checks to consider
The SEC announced final judgments entered on October 15, 2026 by the U.S. District Court for the Southern District of Florida against The Movie Studio, Inc. and its President and CEO Gordon Scott Venters. The SEC alleged misrepresentations to investors in an unregistered securities offering conducted between April 2017 and December 2020, and the defendants consented to the judgments.
Checks to consider
The source is titled 'NPA Asset Management' and is attributed to the SEC, published 2026-11-02. The feed and page text contain only a PDF binary stream with no readable content, so the subject matter, obligations and dates cannot be determined from the text provided.
The SEC published a litigation release announcing final judgments against several U.S. individuals in a civil action over overseas boiler room schemes that sold fake investments purportedly trading on U.S. exchanges in 2019 and 2020. The judgments enjoin future violations, impose conduct-based injunctions, and order disgorgement deemed satisfied by related criminal restitution orders.
Dates in the text: 2026-10-09 Final judgment entered by the Southern District of New York against Daniel T. Wellcome Jr.
Checks to consider
The SEC published an item titled 'Newpoint Financial Corp.' on 2026-10-30. The feed text contains only the company name, and the page text is an unreadable binary PDF extract, so the nature of the publication cannot be determined from the material provided.
The SEC filed a complaint against Cary Urich, a former investment adviser representative, alleging breaches of fiduciary duty through unsuitable use of leveraged and inverse ETFs in discretionary client accounts between April 2020 and November 2023. Urich consented to a final judgment without admitting the allegations, including a two-year bar from associating with an investment adviser and a $100,000 civil penalty, and the SEC also instituted settled proceedings against his former firm, United Planners' Financial Services of America A LP.
Checks to consider
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