Representatives from the New York Regional Office attended the Queens College Today Business Breakfast to network with students about summer internships. Keep an eye out! Internship applications should be posted soon.

Tracy Sivitz, Senior Counsel of the Market Abuse Unit, was a guest speaker for a Securities Regulation & Broker Dealer Compliance class at Fordham Law School.

Make sure you know who you are dealing with when it comes to your money! 💰💰 Find out if you are dealing with a registered investment professional. x.com/sec_investor_e…

How does the SEC work? Learn about the Commission’s Division of Enforcement—and how it’s the cop on the beat to protect investors. More in Chair Gary Gensler Office Hours video. x.com/garygensler/st…

Take this month’s Investor Quiz. It’s a quick and easy way to test your investing knowledge. investor.gov/additional-res…

The SEC charges NY businessman with fraud and unregistered sales of securities to investors seeking permanent residency in the US. SEC also charges NY-based immigration attorney and her firm for role in sale of unregistered securities, raising $66 million. sec.gov/news/press-rel…

SEC obtains judgment against former hedge fund trader for now-defunct NY-based investment adviser Premium Point Investments LP, related to hedge fund valuation scheme. sec.gov/litigation/lit…

New Investor Bulletin Important tips for service members or dependents to help make the most of one-time lump sum payments. investor.gov/introduction-i…

Apply for summer internships today! The SEC will host the SEC Scholars Program during Summer 2024. The program targets currently enrolled students to participate in a paid 10-week internship. usajobs.gov/job/762811900

SEC charges five unregistered brokers, four companies in widespread pre-IPO fraud scheme netting the defendants more than $88 million in illicit profits from undisclosed fees. sec.gov/news/press-rel…

Attention law school students. ⚖️ Apply now for the SEC Scholars Program during Summer 2024. The program targets currently enrolled students to participate in a paid 10-week internship. Application deadline: December 19th usajobs.gov/job/762815300

Apply for summer internships today! The SEC will host the SEC Scholars Program during Summer 2024. The program targets currently enrolled students to participate in a paid 10-week internship. Deadline to apply: December 19th usajobs.gov/job/762811900

Investor Bulletin: Brokered CDs Advertisements for CDs with attractive yields have generated considerable interest. While CDs issued by insured banks are federally insured and generally considered safe, some CDs are more complex and may carry more risk. ow.ly/et4S50QipzQ

SEC charges Tingo Mobile founder, Mmobuosi Odogwu Banye, and his three companies with massive fraud to inflate revenues, profits and cash balances by hundreds of millions of dollars. sec.gov/news/press-rel…

Court grants SEC request for receiver over GPB Capital Holdings. sec.gov/litigation/lit…

Take a listen to Chair Gensler speaking about how artificial intelligence (AI) is being used in the finance services industry. x.com/garygensler/st…

It’s a quick 10 questions to test your investing knowledge. Check out December’s Investing quiz. investor.gov/additional-res…

Chair Gensler breaks down the SEC’s resolutions for 2024. x.com/garygensler/st…

New Year, new goals? Is it time to rebalance your investment portfolio? It depends. Many investment professionals recommend rebalancing a portfolio regularly, typically every 6 to 12 months. investor.gov/additional-res…

The SEC awarded more than $28 million to seven whistleblowers for valuable information that played a critical role in leading to a successful enforcement action. sec.gov/news/press-rel…