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20 Jun 2023, 3:36 pm
The Securities and Exchange Commission today charged New York-based investment adviser Insight Venture Management LLC with charging excess management fees and failing to disclose a conflict of interest to investors relating to its fee calculations. [read post]
14 Feb 2024, 12:20 pm
The Securities and Exchange Commission today proposed a rule that would update the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940 (Act). [read post]
28 Sep 2023, 7:20 am
The Securities and Exchange Commission today announced charges against Anthony Viggiano, a former analyst at a major investment firm and later at an international investment bank, and Christopher Salamone, Stephen A. [read post]
29 Sep 2023, 7:38 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. [read post]
1 Jul 2024, 11:50 am
The Securities and Exchange Commission today adopted tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and…Read the Full Press Release Have a securities law question? [read post]
5 Sep 2024, 9:02 am
The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufacturer. [read post]
7 Mar 2024, 2:15 pm
The Securities and Exchange Commission today announced that Skechers U.S.A. [read post]
15 Jan 2025, 6:40 am
The Securities and Exchange Commission is closely monitoring the impact of the California wildfires on investors and capital markets. [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]
5 May 2025, 6:01 am
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its May 12 roundtable, “Tokenization — Moving Assets Onchain: Where TradFi and DeFi Meet. [read post]
23 Mar 2022, 2:35 pm
The Securities and Exchange Commission today voted to propose changes that would remove the references to credit rating agencies from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules designed to preserve market…Read the Full Press ReleaseHave a securities law question? [read post]
27 Aug 2024, 10:35 am
The Securities and Exchange Commission today announced charges against China-based investment adviser QZ Asset Management Limited a/k/a Qianze Asset Management Limited (QZ Asset), its South Dakota-based holding company QZ Global Limited, and the CEO of…Read the Full Press Release Have a securities law question? [read post]
31 Jul 2024, 2:25 pm
The Securities and Exchange Commission today charged Abraham Shafi, the founder and former CEO of Get Together Inc., a privately held social media startup known as “IRL,” with defrauding investors by making false and misleading statements about the…Read the Full Press Release Have a securities law question? [read post]
25 Mar 2022, 8:55 am
The Securities and Exchange Commission today announced that Erin E. [read post]
21 Apr 2022, 11:00 am
The Securities and Exchange Commission today announced a court-approved settlement requiring a Michigan-based former accountant at Domino’s Pizza Inc. to pay a penalty of nearly $2 million for insider trading in the company’s stock. [read post]
17 Apr 2025, 7:40 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that its meeting on Tuesday, May 6, 2025, will focus on the practical market considerations and regulatory challenges of Regulation A. [read post]
26 Sep 2023, 7:01 am
The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. [read post]
2 Oct 2023, 8:02 am
The Securities and Exchange Commission today announced it will highlight the importance of investor education and protection during World Investor Week (WIW) 2023, which takes place October 2-8. [read post]
27 Sep 2023, 2:02 pm
The Securities and Exchange Commission today announced the appointment of George Botic, CPA to a term as a Board Member of the Public Company Accounting Oversight Board (PCAOB). [read post]
25 Jan 2024, 6:20 am
The Securities and Exchange Commission today announced settled charges against Aon Investments USA Inc., a Chicago-based registered investment adviser, and the firm’s former partner, Claire P. [read post]
