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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 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]
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 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]
4 Mar 2022, 8:05 am
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements…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]
1 Dec 2021, 8:10 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 82 soliciting entities, eight (8) impersonators of genuine firms, and…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]
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]
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]
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]
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]
6 Jan 2022, 1:00 pm
The Securities and Exchange Commission today announced charges against three Florida residents for trading in advance of market moving announcements involving DSW Inc., Rite Aid Corporation, and an attempt to acquire Aphria Inc., a Canadian cannabis-…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]
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]
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]
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]
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]
27 Jan 2022, 12:05 pm
The Securities and Exchange Commission today announced that LizAnn Eisen has been named Deputy Director, Disclosure Program, for the Division of Corporation Finance. [read post]
