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24 Feb 2023, 9:45 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. [read post]
14 Jun 2022, 10:38 am
The Securities and Exchange Commission today charged New Jersey-based investment adviser Energy Capital Partners Management LP (ECP) with allocating undisclosed, disproportionate expenses to a private equity fund it advises. [read post]
6 Mar 2023, 1:40 pm
The Securities and Exchange Commission today announced charges against global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme involving a consultant in Guinea. [read post]
13 Oct 2023, 9:20 am
The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. [read post]
5 Dec 2023, 7:17 am
The Office of the Investor Advocate of the Securities and Exchange Commission today published its Report on Activities for the Fiscal Year 2023 to Congress. [read post]
16 Jan 2025, 12:30 pm
The Securities and Exchange Commission today announced that YJ Fischer, the Director of the Office of International Affairs (OIA) since August 2021, will leave her role on Jan. 20, 2025. [read post]
16 Jan 2025, 12:05 pm
The Securities and Exchange Commission today announced that Megan Barbero, who has served as General Counsel since February 2023, will leave the agency on Jan. 20, 2025. [read post]
17 Jan 2025, 9:30 am
The Securities and Exchange Commission today announced that Digital Currency Group Inc. [read post]
17 Jan 2025, 8:55 am
The Securities and Exchange Commission today charged former Pennsylvania-based investment adviser Scott J. [read post]
14 Feb 2025, 10:00 am
The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C. on April 10 from 1 – 4:30 p.m. [read post]
14 Feb 2025, 9:05 am
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients
14 Feb 2025, 8:06 am
The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
20 Feb 2025, 6:36 am
The Securities and Exchange Commission today announced the creation of the Cyber and Emerging Technologies Unit (CETU) to focus on combatting cyber-related misconduct and to protect retail investors from bad actors in the emerging technologies space. [read post]
7 Mar 2025, 8:01 am
The Securities and Exchange Commission today filed settled charges against registered investment adviser Momentum Advisors LLC, its former managing partner Allan J. [read post]
21 Jan 2025, 7:20 am
The Securities and Exchange Commission today announced that President Donald J. [read post]
28 Feb 2025, 9:36 am
The Securities and Exchange Commission today announced it will hold a roundtable discussion on Artificial Intelligence in the financial industry. [read post]
1 Mar 2023, 10:35 am
The Securities and Exchange Commission today charged Terren S. [read post]
25 Aug 2023, 8:06 am
The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. [read post]
22 Dec 2022, 7:51 am
The Securities and Exchange Commission today announced that General Counsel Dan Berkovitz will depart the agency, effective Jan. 31, 2023. [read post]
22 Feb 2018, 4:39 am
Somers [SCOTUSblog materials] that the anti-retaliation provision of the securities law does not apply to an individual terminated before he reported acts of retaliation to the Securities and Exchange Commission (SEC) [official website]. [read post]
