SEC: các công bố mới nhất, đã phân loại

NPB Financial Group, LLC

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.

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Christopher Williams

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.

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Elizabeth Escoto

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.

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Reyna Guiffaro

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.

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SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers

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.

Các việc cần kiểm tra

• Check whether the firm or its funds would fall within the updated small entity thresholds once the adopting release is published.
• Review the adopting release in the Federal Register for the exact thresholds and aggregation rules.

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The Movie Studio, Inc. and Gordon Scott Venters

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.

Các việc cần kiểm tra

• Check whether any unregistered offerings or private placements in your business relate to the misrepresentation categories described, such as film ownership, blockchain use or revenue claims.
• Review marketing materials and press releases for accuracy when communicating with investors, particularly unsophisticated or elderly investors.

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NPA Asset Management

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.

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Alyssa D'Urso, Antonella Chiaramonte, Daniel Wellcome, Jay Garnock, and Michael D'Urso

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.

Các ngày trong văn bản: 2026-10-09 Final judgment entered by the Southern District of New York against Daniel T. Wellcome Jr.

Các việc cần kiểm tra

• Review whether internal controls detect nominee accounts opened for shell companies that receive third-party investor funds.
• Check whether monitoring covers intermediary roles between overseas sales operations and domestic bank accounts.

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Newpoint Financial Corp.

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.

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Cary Edward Urich

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.

Các việc cần kiểm tra

• Check whether discretionary portfolios hold leveraged or inverse ETFs for periods longer than the holding period stated in the fund prospectuses.
• Review whether client suitability assessments are documented for complex ETF positions and whether disclosures cover negative historical returns.

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