February 14, 2025/US SEC The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to advisory services provided to their retail clients. According to the SEC’s order, from […]
Author: InvestAdvocate
SEC Seeks Candidates for Membership on the Investor Advisory Committee
February 14, 2025/US SEC The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve securities regulation. Candidates will be considered for open at-large […]
SEC Announces 44th Annual Small Business Forum to Impact Capital-Raising Policy
February 14, 2025/US SEC The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C. on April 10 from 1 – 4:30 p.m. ET. The forum brings together members of the public and private sectors to discuss […]
