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26 Jul 2023, 9:40 am
The Securities and Exchange Commission today proposed new rules that would require broker-dealers and investment advisers (collectively, “firms”) to take certain steps to address conflicts of interest associated with their use of predictive data…Read the Full Press Release Have a securities law question? [read post]
16 Nov 2023, 10:12 am
The Securities and Exchange Commission has adopted new rules to improve the governance of all registered clearing agencies by reducing the likelihood that conflicts of interest may influence their boards of directors or equivalent governing bodies. [read post]
5 Jan 2024, 9:35 am
The Securities and Exchange Commission today announced that University of Denver law professor Stacey Bowers has been named the new director of the SEC’s Office of the Advocate for Small Business Capital Formation (OASB). [read post]
25 May 2022, 11:05 am
The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in the fund industry and compliance practices that have developed in the approximately 20 years since the…Read the Full Press ReleaseHave a securities law question? [read post]
2 Apr 2025, 8:30 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced, as part of April’s National Financial Literacy Month, it will highlight the key role investing plays in both powering the U.S. economy and…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
12 Sep 2023, 10:22 am
The Securities and Exchange Commission today announced a settled action against New York-based YieldStreet Inc. and its registered investment adviser subsidiary, YieldStreet Management LLC (together, YieldStreet), for failing to disclose critical…Read the Full Press Release Have a securities law question? [read post]
10 Aug 2022, 7:05 am
The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. [read post]
18 Nov 2022, 10:05 am
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration of…Read the Full Press ReleaseHave a securities law question? [read post]
14 Dec 2022, 12:55 pm
The Securities and Exchange Commission today proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that…Read the Full Press ReleaseHave a securities law question? [read post]
20 Jul 2023, 1:55 pm
The Securities and Exchange Commission today announced settled fraud charges against Digital World Acquisition Corporation (DWAC), a special purpose acquisition company (SPAC), for making material misrepresentations in forms filed with the SEC as part of…Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 6:06 am
The Securities and Exchange Commission today announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications. [read post]
16 Dec 2024, 1:30 pm
The Securities and Exchange Commission today announced settled charges against Becton, Dickinson and Company, a New Jersey-based medical device manufacturer known as BD, for repeatedly misleading investors about risks associated with its continued sales…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
16 Jan 2025, 12:05 pm
The Securities and Exchange Commission today announced that Megan Barbero, who has served as General Counsel since February 2023, will leave the agency on Jan. 20, 2025. [read post]
30 Jan 2025, 7:01 am
The Securities and Exchange Commission today announced Acting Chairman Mark T. [read post]
25 Apr 2022, 8:05 am
The Securities and Exchange Commission today announced a total award of $6 million to two groups of whistleblowers who provided information and assistance in a single covered action. [read post]
23 Mar 2023, 9:01 am
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a half…Read the Full Press ReleaseHave a securities law question? [read post]
2 Jun 2023, 1:35 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, June 14. [read post]
27 Jun 2023, 4:05 pm
The Securities and Exchange Commission today filed a settled complaint charging Las Vegas-based nutritional supplement company MusclePharm Corp. [read post]
4 Oct 2023, 12:56 pm
The Securities and Exchange Commission today announced the appointment of Stephanie Allen as Director of Media Relations and Speechwriting, effective Oct. 1, 2023. [read post]
25 Oct 2024, 1:40 pm
The Securities and Exchange Commission today adopted rule amendments and a new rule to improve the resilience and recovery and wind-down planning of covered clearing agencies. [read post]
