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27 Feb 2024, 1:41 pm
The Securities and Exchange Commission today charged Paul A. [read post]
24 Jan 2023, 8:05 am
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. [read post]
6 Apr 2023, 8:50 am
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation has opened registration for the SEC’s 42nd Annual Government-Business Forum on Small Business Capital Formation, which will take place April 24-27. [read post]
26 Apr 2023, 11:55 am
The Securities and Exchange Commission’s Division of Investment Management today announced it will host virtually an inaugural Conference on Emerging Trends in Asset Management on Friday, May 19, 2023. [read post]
22 Sep 2023, 8:05 am
The Securities and Exchange Commission today announced that American Infrastructure Funds LLC (AIM), a Foster City, California-based registered investment adviser to private funds, agreed to pay more than $1.6 million to settle charges resulting from its…Read the Full Press Release Have a securities law question? [read post]
13 Jul 2022, 8:25 am
The Securities and Exchange Commission today voted to adopt amendments to its rules governing proxy voting advice as proposed in November 2021. [read post]
22 Sep 2022, 1:51 pm
The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. [read post]
16 Sep 2024, 1:51 pm
The Securities and Exchange Commission today filed charges against Paul D. [read post]
15 Jan 2025, 7:35 am
The Securities and Exchange Commission today announced that Jessica A. [read post]
29 Jun 2022, 1:40 pm
The Securities and Exchange Commission today announced that UBS Financial Services Inc. has agreed to pay approximately $25 million to settle fraud charges relating to a complex investment strategy referred to as YES, or Yield Enhancement Strategy. [read post]
13 Sep 2023, 1:22 pm
The Securities and Exchange Commission today proposed rule and form amendments to improve filer access to and management of accounts on the SEC’s EDGAR system. [read post]
7 Feb 2024, 10:05 am
The Securities and Exchange Commission today announced charges against TradeStation Crypto, Inc., based in Plantation, Florida, for failing to register the offer and sale of a crypto lending product that allowed U.S. investors to deposit or purchase…Read the Full Press Release Have a securities law question? [read post]
16 May 2022, 8:05 am
The Securities and Exchange Commission today announced that it obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. [read post]
30 Sep 2022, 7:00 am
The Securities and Exchange Commission today charged audit firm RSM US LLP and three senior-level employees with improper professional conduct for failing to properly audit Revolution Lighting Technologies Inc. [read post]
31 Oct 2022, 8:10 am
The Securities and Exchange Commission today charged six individuals, including a federal inmate, for conducting a freeriding scheme that defrauded multiple broker-dealers. [read post]
20 May 2025, 5:25 pm
The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
9 Aug 2022, 10:30 am
The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. [read post]
12 Apr 2024, 6:06 am
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. [read post]
2 Jul 2024, 8:50 am
The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality. [read post]
28 Mar 2022, 6:40 am
Securities and Exchange Commission is hosting a free virtual outreach event entitled, Safeguarding the Golden Years: Avoiding Financial Fraud, on Thursday, March 31, 2022 to help educate older adults and their caregivers on the unique challenges…Read the Full Press ReleaseHave a securities law question? [read post]
