Search for: "Securities and Exchange Commission"
Results 2541 - 2560
of 22,156
Sorted by Relevance
|
Sort by Date
26 Oct 2022, 9:55 am
The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit registered investment advisers from outsourcing certain services and functions without conducting due diligence and…Read the Full Press ReleaseHave 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]
21 Dec 2022, 6:10 pm
The Securities and Exchange Commission today charged Caroline Ellison, the former CEO of Alameda Research, and Zixiao (Gary) Wang, the former Chief Technology Officer of FTX Trading Ltd. [read post]
3 Jul 2023, 6:00 am
The Securities and Exchange Commission today announced settled charges against a California-based manufacturer of “smart” windows, View Inc., for failing to disclose $28 million in projected warranty-related liabilities to address a particular defect in…Read the Full Press Release Have a securities law question? [read post]
26 Sep 2023, 2:05 pm
The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships…Read the Full Press Release Have a securities law question? [read post]
14 Aug 2024, 6:25 am
The Securities and Exchange Commission today announced that it obtained a preliminary injunction, asset freeze, and other emergency relief against Atlanta-based Drive Planning LLC and its founder and CEO, Russell Todd Burkhalter, to halt a $300 million…Read the Full Press Release Have a securities law question? [read post]
7 Oct 2024, 7:02 am
The Securities and Exchange Commission today announced it will encourage investors to choose their information sources wisely during World Investor Week (WIW) 2024, which takes place Oct. 7-13. [read post]
21 Oct 2022, 1:10 pm
The Securities and Exchange Commission today announced that California-based Mattel Inc. has agreed to pay $3.5 million to settle charges relating to misstatements in its third and fourth quarter 2017 financial statements. [read post]
11 May 2023, 1:06 pm
The Securities and Exchange Commission today announced that Amsterdam-based Koninklijke Philips N.V. will pay more than $62 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) with respect to conduct related to its sales…Read the Full Press Release Have a securities law question? [read post]
20 Mar 2023, 10:55 am
Securities and Exchange Commission announced that it will host a virtual event, entitled “Investor Advocacy Clinics: Students Fight for Investor Justice,” on Wednesday, March 29 from 11:00 a.m. to 12:00 p.m. [read post]
24 Apr 2024, 7:05 am
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. [read post]
5 Jun 2024, 9:36 am
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. [read post]
11 Jun 2024, 11:01 am
The Securities and Exchange Commission today announced the appointment of Erica Y. [read post]
15 Jan 2025, 1:40 pm
The Securities and Exchange Commission today filed fraud charges against John Lowe, Randy Grewal, Richard Ringel, and David Cooper arising from their longstanding fraudulent scheme to trade in advance of the public announcement of the timing or price, or…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
3 Jan 2023, 1:20 pm
The Securities and Exchange Commission today announced fraud charges against Cooper J. [read post]
7 Mar 2023, 7:15 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 soliciting entities, three impersonators of genuine firms, and…Read the Full Press ReleaseHave a securities law question? [read post]
16 Oct 2023, 11:27 am
The Securities and Exchange Commission today announced that it obtained a temporary restraining order, asset freeze, and other emergency relief to halt an ongoing fraud targeting the Indian American community that has raised nearly $130 million since…Read the Full Press Release Have a securities law question? [read post]
30 Jun 2022, 1:30 pm
The Securities and Exchange Commission today announced fraud charges against Empires Consulting Corp. [read post]
13 Jan 2023, 8:50 am
The Securities and Exchange Commission today announced that Renee Jones, Director of the Division of Corporation Finance, will depart the agency to return to her faculty position at Boston College Law School, effective Feb. 3, 2023. [read post]
13 Jan 2025, 11:15 am
The Securities and Exchange Commission today charged Alfred V. [read post]
