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25 Jan 2024, 1:15 pm
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
18 Jun 2024, 1:35 pm
The Securities and Exchange Commission today announced that R.R. [read post]
25 Jul 2023, 8:05 am
The Securities and Exchange Commission today announced that Natasha Vij Greiner and Keith E. [read post]
23 Aug 2023, 10:22 am
The Securities and Exchange Commission today adopted new rules and rule amendments to enhance the regulation of private fund advisers and update the existing compliance rule that applies to all investment advisers. [read post]
5 May 2023, 7:01 am
The Securities and Exchange Commission today announced the largest-ever award, nearly $279 million, to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions. [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
17 Apr 2024, 11:50 am
The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. [read post]
20 Nov 2024, 1:01 pm
The Securities and Exchange Commission today charged Gautam Adani and Sagar Adani, executives of Adani Green Energy Ltd., and Cyril Cabanes, an executive of Azure Power Global Ltd., for conduct arising out of a massive bribery scheme. [read post]
26 Jul 2024, 5:06 am
The Securities and Exchange Commission today announced charges against activist short seller Andrew Left and his firm, Citron Capital LLC, for engaging in a $20 million multi-year scheme to defraud followers by publishing false and misleading statements…Read the Full Press Release Have a securities law question? [read post]
12 Sep 2022, 1:40 pm
The Securities and Exchange Commission today charged VMware Inc. for misleading investors about its order backlog management practices, which enabled the Palo Alto, California-based technology company to push revenue into future quarters by delaying…Read the Full Press ReleaseHave a securities law question? [read post]
14 Sep 2022, 10:10 am
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. [read post]
9 May 2022, 8:05 am
The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. [read post]
13 Dec 2023, 10:35 am
The Securities and Exchange Commission today approved the 2024 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. [read post]
4 Jun 2024, 12:05 pm
The Securities and Exchange Commission today announced that it will close its Salt Lake Regional Office (SLRO) later this year, reducing its regional footprint from 11 regional offices to 10. [read post]
13 Sep 2023, 1:22 pm
The Securities and Exchange Commission today proposed rule and form amendments to improve filer access to and management of accounts on the SEC’s EDGAR system. [read post]
10 Jan 2025, 6:15 am
The Securities and Exchange Commission today announced settled charges against Vince McMahon, the former Executive Chairman and CEO of World Wrestling Entertainment Inc., for signing two settlement agreements, one in 2019 and one in 2022, on behalf of…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
29 Jun 2023, 8:21 am
The Securities and Exchange Commission today announced insider trading charges against Amit Dagar, a former Pfizer Inc. employee, and his close friend and business partner, Atul Bhiwapurkar, for trading in advance of the company’s November 5, 2021,…Read the Full Press Release Have a securities law question? [read post]
25 Oct 2024, 1:40 pm
The Securities and Exchange Commission today adopted rule amendments and a new rule to improve the resilience and recovery and wind-down planning of covered clearing agencies. [read post]
25 Jun 2024, 6:15 am
The Securities and Exchange Commission today filed charges against Meta Materials Inc. and its former CEOs, John Brda and George Palikaras. [read post]
18 Nov 2021, 11:45 am
The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors. [read post]
