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20 Dec 2021, 9:25 am
The Securities and Exchange Commission today announced fraud charges against five Russian nationals for engaging in a multi-year scheme to profit from stolen corporate earnings announcements obtained by hacking into the systems of two U.S. [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]
20 Dec 2021, 10:35 am
The Securities and Exchange Commission today charged registered investment adviser Global Infrastructure Management, LLC for failing to properly offset management fees and for making misleading statements about the fees and expenses it charged. [read post]
21 Jan 2022, 8:42 am
The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions. [read post]
8 Mar 2022, 11:00 am
The Securities and Exchange Commission today announced an award of more than $3.5 million to a whistleblower who provided critical information that significantly contributed to the success of two SEC enforcement actions. [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, 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]
9 Mar 2022, 7:55 am
The Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies. [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]
11 Feb 2022, 11:15 am
The Securities and Exchange Commission today announced that Kelly L. [read post]
2 Dec 2021, 10:05 am
The Securities and Exchange Commission today adopted amendments to finalize rules implementing the submission and disclosure requirements in the Holding Foreign Companies Accountable Act (HFCAA). [read post]
3 Mar 2022, 7:55 am
The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR) has agreed to pay more than $30 million to settle charges that its undisclosed conflicts of interest defrauded current and…Read the Full Press ReleaseHave a securities law question? [read post]
30 Dec 2021, 11:00 am
The Securities and Exchange Commission today announced the appointments of Corey Frayer, Phil Havenstein, Jennifer Songer, and Jorge Tenreiro to Chair Gary Gensler’s executive staff. [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]
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]
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 Dec 2021, 12:05 pm
The Securities and Exchange Commission today announced it charged three Canadian citizens with carrying out a fraudulent scheme involving penny stocks which generated tens of millions of dollars in proceeds but left investors with nearly worthless shares…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]
27 Jan 2022, 9:10 am
The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the company'…Read the Full Press ReleaseHave a securities law question? [read post]
6 Dec 2021, 9:25 am
The Securities and Exchange Commission today charged American Renal Associates Holdings, Inc. [read post]
