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19 Sep 2024, 8:01 am
The Securities and Exchange Commission today charged Idaho-based investment adviser Inspire Investing LLC with making misleading statements and for compliance failures related to the execution of its “biblically responsible investing” strategy. [read post]
28 May 2025, 11:30 am
The Securities and Exchange Commission’s Division of Economic and Risk Analysis has published three new reports that provide the public with information on capital formation and beneficial ownership of qualifying private funds. [read post]
28 May 2025, 10:10 am
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its June 9 roundtable, “DeFi and the American Spirit. [read post]
9 Dec 2024, 10:20 am
The Securities and Exchange Commission today announced that Haoxiang Zhu, Director of the Division of Trading and Markets, will depart the agency effective Dec. 10, 2024. [read post]
22 Feb 2024, 1:45 pm
The Securities and Exchange Commission today charged Tyler Loudon of Houston, Texas, with insider trading ahead of a February 2023 announcement that London-based oil and gas company BP p.l.c. agreed to acquire TravelCenters of America Inc., a full-…Read the Full Press Release Have a securities law question? [read post]
9 Sep 2022, 7:35 am
The Securities and Exchange Commission today adopted amendments to its rules to implement inflation adjustments mandated by the Jumpstart Our Business Startups (JOBS) Act. [read post]
7 Jun 2023, 9:05 am
The Securities and Exchange Commission today adopted rule changes to remove and replace references to credit ratings from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules that prohibits activities that could…Read the Full Press Release Have a securities law question? [read post]
29 Sep 2023, 6:05 am
The Securities and Exchange Commission today announced charges against credit rating agencies DBRS Inc. and Kroll Bond Rating Agency, LLC (KBRA) for longstanding failures to preserve electronic records, including off-channel communications on personal…Read the Full Press Release Have a securities law question? [read post]
4 May 2023, 9:31 am
The Securities and Exchange Commission today announced settled charges against Fargo, North Dakota-based investment adviser Classic Asset Management LLC (CAM) and indirect part-owner and investment adviser representative Douglas G. [read post]
18 Apr 2022, 10:05 am
The Securities and Exchange Commission today announced charges against Fernando Passos, the former executive vice president of finance and investor relations of Brazilian reinsurance company IRB Brasil Resseguros S.A., for allegedly planting a false…Read the Full Press ReleaseHave a securities law question? [read post]
30 Jun 2022, 1:05 pm
The Securities and Exchange Commission today announced Mark T. [read post]
6 Sep 2022, 11:25 am
The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs…Read the Full Press ReleaseHave a securities law question? [read post]
16 Feb 2024, 6:06 am
The Securities and Exchange Commission today announced that registered investment adviser Van Eck Associates Corporation has agreed to pay a $1.75 million civil penalty to settle charges that it failed to disclose a social media influencer’s role in the…Read the Full Press Release Have a securities law question? [read post]
13 Jan 2025, 1:36 pm
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
15 Nov 2022, 8:40 am
The Securities and Exchange Commission today announced that it filed 760 total enforcement actions in fiscal year 2022, a 9 percent increase over the prior year. [read post]
13 Jan 2023, 7:01 am
The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action. [read post]
Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
14 Feb 2023, 11:00 am
The Securities and Exchange Commission today announced that Cicely LaMothe was named Deputy Director, Disclosure Operations, for the Division of Corporation Finance, effective Feb. 12, 2023. [read post]
12 Jul 2023, 9:22 am
The Securities and Exchange Commission today proposed amendments to Rule 15c3-3 (the Customer Protection Rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and…Read the Full Press Release Have a securities law question? [read post]
21 Jan 2025, 7:20 am
The Securities and Exchange Commission today announced that President Donald J. [read post]
23 Mar 2023, 9:40 am
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered broker-…Read the Full Press ReleaseHave a securities law question? [read post]
