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14 Jan 2025, 7:36 am
The Securities and Exchange Commission today announced settled charges against investment adviser representatives Tamir Shabat, Danny Z. [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]
3 Apr 2023, 7:30 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “Investing for everyone. [read post]
13 Sep 2023, 6:31 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, September 19. [read post]
7 Jun 2024, 9:30 am
The Securities and Exchange Commission today charged three individuals with fraud for selling unregistered membership interests in LLCs that purported to invest in shares of pre-IPO companies, first on behalf of StraightPath Venture Partners LLC, the…Read the Full Press Release Have a securities law question? [read post]
20 Aug 2024, 11:05 am
The Securities and Exchange Commission today announced settled charges against New York-based registered transfer agent Equiniti Trust Company LLC, formerly known as American Stock Transfer & Trust Company LLC, for failing to assure that client…Read the Full Press Release Have a securities law question? [read post]
18 Apr 2022, 2:25 pm
The Securities and Exchange Commission today announced that Rollins Inc. agreed to pay $8 million to settle charges that it engaged in improper accounting practices in order to boost its publicly-reported quarterly earnings per share (EPS) to meet…Read the Full Press ReleaseHave a securities law question? [read post]
1 Dec 2022, 10:28 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. [read post]
8 Sep 2023, 7:01 am
The Securities and Exchange Commission today announced settled charges against Monolith Resources LLC, a privately held energy and technology company headquartered in Lincoln, Nebraska, for using employee separation agreements that violated the SEC’s…Read the Full Press Release Have a securities law question? [read post]
15 Sep 2023, 8:02 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 29 soliciting entities, three impersonators of genuine firms, and one…Read the Full Press Release Have a securities law question? [read post]
20 Aug 2024, 10:05 am
The Securities and Exchange Commission today announced that it has approved two Public Company Accounting Oversight Board (PCAOB) proposals updating audit standards regarding general responsibilities of the auditor and use of technology-assisted analysis…Read the Full Press Release Have a securities law question? [read post]
1 Jun 2022, 12:30 pm
The Securities and Exchange Commission’s Office of Investor Education and Advocacy today unveiled a game show-themed public service campaign to help investors make informed investment decisions and avoid fraud. [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]
22 Jun 2023, 1:51 pm
The Securities and Exchange Commission today charged William K. [read post]
16 Oct 2024, 12:25 pm
The Securities and Exchange Commission today announced that RTX Corporation, a Virginia-based aerospace and defense company, agreed to pay more than $124 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) in connection…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
9 Oct 2024, 6:45 am
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Milton on investors and capital markets. [read post]
10 Aug 2023, 2:00 pm
The Securities and Exchange Commission today charged Colombian conglomerate Grupo Aval Acciones y Valores S.A., aka Grupo Aval S.A., and its bank subsidiary, Corporación Financiera Colombiana S.A. [read post]
25 Aug 2023, 6:05 am
The Securities and Exchange Commission today charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more than $26.8 million in…Read the Full Press Release Have a securities law question? [read post]
7 Dec 2023, 5:51 am
The Securities and Exchange Commission today announced charges against Raymond J. [read post]
21 Mar 2022, 9:45 am
The Securities and Exchange Commission today proposed rule changes that would require registrants to include certain climate-related disclosures in their registration statements and periodic reports, including information about climate-related risks that…Read the Full Press ReleaseHave a securities law question? [read post]
