Search for: "Securities and Exchange Commission"
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26 Sep 2022, 10:55 am
The Securities and Exchange Commission today charged Peter L. [read post]
3 Sep 2024, 10:50 am
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities…Read the Full Press Release Have a securities law question? [read post]
10 Oct 2024, 9:55 am
The Securities and Exchange Commission today charged Chicago-based Cumberland DRW LLC with operating as an unregistered dealer in more than $2 billion of crypto assets offered and sold as securities, in violation of the registration requirements of the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
13 Sep 2023, 7:06 am
The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (NFTs) that raised approximately $8 million from investors to…Read the Full Press Release Have a securities law question? [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]
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]
9 Dec 2024, 2:21 pm
The Securities and Exchange Commission today charged Denver resident Ian G. [read post]
13 Dec 2023, 1:05 pm
The Securities and Exchange Commission today announced that Credit Suisse Securities (USA) LLC and two affiliated Credit Suisse entities (collectively, the Credit Suisse Entities) agreed to pay more than $10 million to settle the SEC’s charges that they…Read the Full Press Release Have a securities law question? [read post]
2 May 2023, 3:01 pm
The Securities and Exchange Commission today charged Brett M. [read post]
5 Jan 2012, 10:11 am
The Securities and Exchange Commission has charged an Illinois-based advisor with selling fictitious securities via social media. [read post]
22 Sep 2023, 6:02 am
The Securities and Exchange Commission today announced settled charges against Goldman Sachs & Co. [read post]
13 Sep 2022, 5:35 am
The Securities and Exchange Commission today filed a litigated action against Oppenheimer & Co. [read post]
13 Dec 2023, 8:52 am
The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. [read post]
30 Sep 2024, 8:00 am
The Securities and Exchange Commission today charged Olayinka Oyebola and his Public Company Accounting Oversight Board-registered accounting firm, Olayinka Oyebola & Co. [read post]
6 Mar 2025, 11:45 am
The Securities and Exchange Commission is providing extensive guidance and resources to assist filers with upcoming access and account management enhancements to the security of the agency’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR)…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
26 Mar 2024, 1:20 pm
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. [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]
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]
28 Aug 2023, 8:06 am
The Securities and Exchange Commission today charged Impact Theory, LLC, a media and entertainment company headquartered in Los Angeles, with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (…Read the Full Press Release Have 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]
