Search for: "Securities and Exchange Commission"
Results 2021 - 2040
of 22,155
Sorted by Relevance
|
Sort by Date
9 Feb 2022, 8:16 am
The Securities and Exchange Commission today voted to propose rules related to cybersecurity risk management for registered investment advisers, and registered investment companies and business development companies (funds), as well as amendments to…Read the Full Press ReleaseHave a securities law question? [read post]
1 Feb 2022, 11:15 am
The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age. [read post]
10 Feb 2022, 1:10 pm
The Securities and Exchange Commission today charged New York-based robo-adviser Wahed Invest, LLC with making misleading statements and breaching its fiduciary duty, and for compliance failures related to its Shari’ah advisory business. [read post]
14 Feb 2022, 8:05 am
The Securities and Exchange Commission today charged BlockFi Lending LLC (BlockFi) with failing to register the offers and sales of its retail crypto lending product. [read post]
29 Dec 2021, 5:35 am
The Securities and Exchange Commission today charged Medallion Financial Corp., a Delaware company headquartered in New York, NY, and its President and Chief Operating Officer, Andrew Murstein of New York, NY, with illegally engaging in two schemes in an…Read the Full Press ReleaseHave a securities law question? [read post]
15 Mar 2022, 2:40 pm
The Office of the Advocate for Small Business Capital Formation will host the Securities and Exchange Commission’s 41st Annual Government-Business Forum on Small Business Capital Formation over four virtual sessions April 4-7 from 1:00-2-30pm ET. [read post]
16 Feb 2022, 8:00 am
The Securities and Exchange Commission today announced that Rita M. [read post]
28 Jan 2022, 8:30 am
The Securities and Exchange Commission today announced settled fraud charges without a penalty against HeadSpin, Inc., a private technology company that made significant remedial efforts in the wake of an internal investigation into misconduct by its now…Read the Full Press ReleaseHave a securities law question? [read post]
9 Feb 2022, 7:51 am
The Securities and Exchange Commission today voted to propose new rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) to enhance the regulation of private fund advisers and to protect private fund investors by increasing…Read the Full Press ReleaseHave a securities law question? [read post]
9 Dec 2021, 12:40 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today issued its 2021 Annual Report that details how entrepreneurs and investors are building companies together from startups to small public companies…Read the Full Press ReleaseHave a securities law question? [read post]
29 Nov 2021, 8:05 am
Securities and Exchange Commission staff today released guidance for companies about how to properly recognize and disclose compensation cost for "spring-loaded awards" made to executives. [read post]
10 Jan 2022, 11:05 am
The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided information and assistance in two separate covered actions. [read post]
8 Mar 2022, 7:15 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. [read post]
7 Dec 2021, 9:20 am
The Securities and Exchange Commission (SEC) today announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led to the success of a covered action. [read post]
10 Feb 2022, 10:05 am
The Securities and Exchange Commission today proposed two amendments to the rules governing its whistleblower program. [read post]
16 Mar 2022, 7:05 am
The Securities and Exchange Commission today charged Crosby Independent School District (Crosby ISD) and its former Chief Financial Officer, Carla Merka, with misleading investors in the sale of $20 million of municipal bonds in order to pay its…Read the Full Press ReleaseHave a securities law question? [read post]
15 Mar 2022, 2:10 pm
The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors…Read the Full Press ReleaseHave a securities law question? [read post]
17 Dec 2021, 2:00 pm
The Securities and Exchange Commission today announced that James E. [read post]
7 Mar 2022, 1:00 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting remotely on March 10 at 10:00 a.m. [read post]
7 Mar 2022, 10:50 am
The Securities and Exchange Commission today charged a previously-barred North Carolina-based investment adviser with lying to retail investors about the use and value of their investments. [read post]
