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6 Jan 2022, 10:10 am
The Securities and Exchange Commission today announced an award of more than $13 million to a whistleblower whose information and assistance prompted the opening of an investigation and significantly contributed to the success of an SEC enforcement…Read the Full Press ReleaseHave a securities law question? [read post]
27 Jan 2022, 2:25 pm
The Securities and Exchange Commission today announced that Kristin Snyder, Deputy Director of the Division of Examinations (EXAMS), is leaving the agency at the end of this month after more than 18 years of service. [read post]
26 Jan 2022, 7:40 am
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [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]
21 Dec 2021, 4:11 am
The Securities and Exchange Commission today announced that Nikola Corporation, a publicly traded company created through a special purpose acquisition company transaction, has agreed to pay $125 million to settle charges that it defrauded investors by…Read the Full Press ReleaseHave a securities law question? [read post]
15 Dec 2021, 9:25 am
The Securities and Exchange Commission today voted to propose amendments to certain rules that govern money market funds under the Investment Company Act of 1940. [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]
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]
6 Dec 2021, 9:25 am
The Securities and Exchange Commission today charged American Renal Associates Holdings, Inc. [read post]
7 Feb 2022, 10:06 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee released the agenda for its Thursday, February 10 virtual meeting, which will cover small business investment issues. [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]
17 Feb 2022, 9:10 am
The Securities and Exchange Commission today charged James Velissaris, the former Chief Investment Officer and founder of Infinity Q Capital Management, with overvaluing assets by more than $1 billion while pocketing tens of millions of dollars in fees…Read the Full Press ReleaseHave a securities law question? [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]
11 Mar 2022, 10:10 am
The Securities and Exchange Commission today announced an award of about $14 million to a whistleblower who published an online report exposing an ongoing fraud. [read post]
15 Dec 2021, 10:50 am
The Securities and Exchange Commission today voted to approve the 2022 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. [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]
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]
15 Feb 2022, 8:00 am
The Securities and Exchange Commission today announced that six investment advisers and six broker-dealers have agreed to settle charges that they failed to file and deliver client or customer relationship summaries – known as Form CRS – to their retail…Read the Full Press ReleaseHave a securities law question? [read post]
21 Dec 2021, 9:05 am
The Securities and Exchange Commission today announced the appointment of William A. [read post]
17 Feb 2022, 3:30 pm
The Securities and Exchange Commission announced that Seoul-based KT Corporation (KT Corp.) will pay $6.3 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) by providing improper payments for the benefit of government…Read the Full Press ReleaseHave a securities law question? [read post]
