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19 Sep 2022, 11:55 am
The Securities and Exchange Commission today issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto asset securities from April 2018 through July 2018 and charged crypto influencer…Read the Full Press ReleaseHave a securities law question? [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
22 Sep 2023, 6:02 am
The Securities and Exchange Commission today announced settled charges against Goldman Sachs & Co. [read post]
31 Oct 2024, 2:15 pm
The Securities and Exchange Commission today charged J.P. [read post]
3 Dec 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has at long last adopted a final rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
3 Dec 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has at long last adopted a final rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
7 Dec 2022, 7:42 am
The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often referred to as buybacks. [read post]
20 Jan 2023, 11:26 am
The Securities and Exchange Commission today charged Avraham Eisenberg with orchestrating an attack on a crypto asset trading platform, Mango Markets, by manipulating the MNGO token, a so-called governance token that was offered and sold as a security. [read post]
30 Jan 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has re-proposed a new rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act). [read post]
6 Mar 2024, 10:25 am
The Securities and Exchange Commission today adopted rule amendments that update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks (NMS stocks), which are stocks listed on a national securities…Read the Full Press Release Have a securities law question? [read post]
12 Dec 2024, 12:55 pm
The Securities and Exchange Commission today charged Eric Cobb of South Carolina with engaging in a fraudulent scheme where he allocated profitable securities trades to favored accounts and unprofitable trades to disfavored clients, a practice known as…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Nov 2022, 1:25 pm
The Securities and Exchange Commission today charged Jeffrey K. [read post]
3 May 2023, 8:20 am
The Securities and Exchange Commission today adopted amendments to modernize the disclosure requirements relating to repurchases of an issuer’s equity securities, including requiring issuers to provide daily repurchase activity on a quarterly or semi-…Read the Full Press Release Have a securities law question? [read post]
21 Nov 2024, 11:45 am
The Securities and Exchange Commission today charged David Kushner, a resident of Boca Raton, Florida, and his company La Mancha Funding Corp. with defrauding nearly two dozen investors out of approximately $2.1 million in a series of private securities…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
19 Sep 2023, 11:31 am
The Securities and Exchange Commission today charged Richmond, California resident Tilila Walker Sumchai with raising approximately $11.8 million from more than 1,000 investors through a fraudulent securities offering targeting members of the Tongan…Read the Full Press Release Have a securities law question? [read post]
20 Dec 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
3 Dec 2023, 10:00 pm
More than a decade after its initial proposal, the US Securities and Exchange Commission (SEC) has at long last adopted a final rule under the Securities Act of 1933, as amended (the Securities Act), prohibiting material conflicts of interest in asset-backed securities (ABS) transactions, as required by Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
27 Jul 2023, 10:00 am
The Securities and Exchange Commission today charged Brent Seaman of Naples, Florida, and various entities he managed for fraudulently raising approximately $35 million from at least 60 investors through an unregistered securities offering. [read post]
21 May 2024, 12:35 pm
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their…Read the Full Press Release Have a securities law question? [read post]
14 Aug 2012, 11:35 am
[JURIST] The US Securities and Exchange Commission (SEC) [official website] announced Tuesday that Wells Fargo [corporate website] will pay a $6.5 million fine [order, PDF] for improperly selling high-risk mortgage securities to investors during the housing market crash in 2007. [read post]
