Mark your calendars🗓️ Our Division of Investment Mgmt will host the annual Conference on Emerging Trends in Asset Mgmt.

On the agenda:
1⃣Trends in Asset Mgmt Products & Strategies
2⃣Past & Future Trends
3⃣Tech-Driven Trends
4⃣Regulatory Perspectives

sec.gov/news/press-rel…

To encourage compliance with the Marketing Rule and other related rules, the Division of Examinations published a Risk Alert providing initial observations from exams.

The Division will continue to examine advisers’ compliance with the Marketing Rule.

sec.gov/files/exams-ri…

The final day of the #SECSmallBizForum begins at 1pm ET, with comments from Commissioners Peirce and Lizárraga.

Today we’ll spotlight small caps and discuss lessons learned going public and staying public with Davina Kaile and Trent Ward.

sec.gov/oasb/sbforum

UPDATE: The SEC Scholars Program announcements were extended and now close on Tuesday, April 23, 2024 at 11:59 PM ET!

Apply now: sec.usajobs.gov/Search/Results…

Thank you to everyone who joined Day 2 of the #SECSmallBizForum today!

Join us again tomorrow for a discussion with Davina Kaile and Trent Ward focusing on small caps and lessons learned going public and staying public.

sec.gov/oasb/sbforum

Day 2 of our #SECSmallBizForum starts at 1pm ET with Commissioners Crenshaw and Uyeda. Join us for a discussion on investing in early-stage companies and building ecosystems with Angela Lee, Trish Costello, and Beto Pallares.

sec.gov/oasb/sbforum

If you have a Thrift Savings Plan (TSP) account, you should be aware of fraudulent schemes aimed at TSP investors.

Learn how to protect your account: investor.gov/introduction-i…

#FinancialCapabilityMonth

Thank you to everyone who joined Day 1 of the #SECSmallBizForum !

Join us tomorrow as we discuss opening the dialogue on investing including issues facing early-stage fund managers & angel investor access w/ Angela Lee, Trish Costello, & Beto Pallares.

sec.gov/oasb/sbforum

We kick off the #SmallBizForum at 1pm ET today w/ Gary Gensler!

Founders & funders will share their successes & challenges. Register to join the discussion & weigh in on policy recommendations: sec.gov/oasb/sbforum

You can also watch the event live at sec.gov

#NeverStopLearning , especially when it comes to protecting your hard-earned money. Learn what you can do to protect your assets now and as you age: investor.gov/NeverStopLearn…

#FinancialCapabilityMonth

Day 1 of the 43rd annual #SECSmallBizForum begins tomorrow.

Join us as we focus on amplifying early-stage #capitalraising stories with Donald Hawkins, Erika Lucas, and Jessica Murrey.

Register now to join the discussion. sec.gov/oasb/sbforum

Today we announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties.

Read more: sec.gov/news/press-rel…

Don’t give your money to a wolf in sheep’s clothing. Always check the background of anyone selling you an investment at Investor.gov.

#FinancialCapabilityMonth