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7 Feb 2023, 12:46 pm
The Securities and Exchange Commission’s Division of Examinations today announced its 2023 examination priorities. [read post]
14 Dec 2023, 6:17 am
The Securities and Exchange Commission today announced that it obtained a temporary restraining order, asset freeze, the appointment of a receiver, and other emergency relief to halt an ongoing $191 million cattle Ponzi scheme being perpetrated by…Read the Full Press Release Have a securities law question? [read post]
15 Sep 2022, 3:10 pm
The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). [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]
29 Jan 2024, 2:36 pm
The Securities and Exchange Commission today charged Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their involvement in a fraudulent crypto asset pyramid scheme known as HyperFund that raised more than $1.7 billion from investors…Read the Full Press Release Have a securities law question? [read post]
30 Sep 2024, 11:25 am
The Securities and Exchange Commission today announced settled charges against registered investment adviser Marathon Asset Management LP for failing to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Sep 2024, 1:06 pm
The Securities and Exchange Commission today announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock. [read post]
6 May 2022, 6:40 am
The Securities and Exchange Commission today announced settled charges against technology company NVIDIA Corporation for inadequate disclosures concerning the impact of cryptomining on the company’s gaming business. [read post]
25 Jul 2022, 7:50 am
The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. [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]
18 Nov 2024, 1:10 pm
The Securities and Exchange Commission today announced that BIT Mining Ltd., formerly known as 500.com Limited, agreed to pay a $4 million civil penalty to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) from 2017 to 2019 by…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
27 Sep 2010, 6:40 am
For a window into just how complicated it will be for regulators like the Securities and Exchange Commission to sort out the Dodd-Frank legislation, one need look no further than the debate raging over the regulation of stock brokers at the fall conference of state securities regulators, known as the North American Securities Administrators Association or Nasaa, which began in Baltimore on Sunday. [read post]
17 May 2023, 9:12 am
The Securities and Exchange Commission today proposed rule changes that would improve the resilience and recovery and wind-down planning of covered clearing agencies. [read post]
5 Sep 2023, 7:12 am
The Securities and Exchange Commission today charged Prime Group Holdings LLC, a private equity firm focused on alternative real estate asset classes, for failing to adequately disclose millions of dollars of real estate brokerage fees that were paid to…Read the Full Press Release Have a securities law question? [read post]
18 Sep 2023, 11:29 am
The Securities and Exchange Commission today announced that it has posted to sec.gov the agency’s Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan for fiscal years 2023-2026 that builds on and advances the SEC’s DEIA commitment and…Read the Full Press Release Have a securities law question? [read post]
29 Nov 2023, 1:06 pm
The Securities and Exchange Commission today announced that Kate E. [read post]
9 Sep 2024, 8:45 am
The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. [read post]
27 Sep 2024, 11:45 am
The Securities and Exchange Commission today filed settled charges against Mango DAO and Blockworks Foundation for engaging in the unregistered offer and sale of crypto assets called “MNGO” tokens. [read post]
20 Dec 2024, 2:55 pm
The Securities and Exchange Commission today charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD (UST), a purported “algorithmic stablecoin” issued by Terraform Labs PTE Ltd. [read post]
26 Jul 2024, 10:45 am
The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. [read post]
