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29 Sep 2023, 8:32 am
The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP, (together, Prager) for violating auditor independence rules and for aiding…Read the Full Press Release Have a securities law question? [read post]
2 Feb 2024, 6:40 am
Securities and Exchange Commission today announced the date of its 2024 Investor Advocacy Clinic Summit, where law students and their professors will engage with SEC staff and invited guests about issues addressed and lessons learned while…Read the Full Press Release Have a securities law question? [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]
24 Mar 2022, 8:10 am
The Securities and Exchange Commission today announced that Martha Legg Miller, Director of the Office of the Advocate for Small Business Capital Formation (OASB), is leaving the agency at the end of April. [read post]
10 Oct 2024, 8:06 am
The Securities and Exchange Commission today announced charges against Rimar Capital USA, Inc. [read post]
3 Dec 2024, 10:56 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 10, 2024, at 10 a.m. [read post]
15 Mar 2023, 8:35 am
The Securities and Exchange Commission today proposed amendments to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, investment companies, registered investment advisers, and…Read the Full Press ReleaseHave a securities law question? [read post]
6 Jun 2023, 4:26 pm
The Securities and Exchange Commission today filed an emergency action application seeking a temporary restraining order freezing assets, directing defendants to repatriate assets held for the benefit of customers of the Binance.US crypto trading…Read the Full Press Release Have a securities law question? [read post]
11 Jan 2024, 1:30 pm
The Securities and Exchange Commission today charged Shanchun Huang with manipulative trading in the stock of Future FinTech Group Inc., using an offshore account shortly before he became Future FinTech’s CEO in 2020. [read post]
3 May 2024, 2:15 pm
The Securities and Exchange Commission today announced that Nathaniel H. [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]
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]
10 Sep 2024, 6:06 am
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. [read post]
27 Mar 2023, 3:15 pm
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2023, 2:27 pm
The Securities and Exchange Commission today charged Laura Tyler Perryman, the former CEO and co-founder of Florida-based medical device startup Stimwave Technologies Inc., with defrauding investors out of approximately $41 million by making false and…Read the Full Press Release Have a securities law question? [read post]
21 Dec 2022, 7:37 am
The Securities and Exchange Commission announced today that Sarah ten Siethoff has been named Deputy Director of the Division of Investment Management. [read post]
27 Sep 2023, 2:12 pm
The Securities and Exchange Commission today filed charges against siblings Marco A. [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]
10 Jan 2025, 6:15 am
The Securities and Exchange Commission today announced settled charges against Vince McMahon, the former Executive Chairman and CEO of World Wrestling Entertainment Inc., for signing two settlement agreements, one in 2019 and one in 2022, on behalf of…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
12 Sep 2024, 6:02 am
The Securities and Exchange Commission today announced that eToro USA LLC has agreed to pay $1.5 million to settle charges that it operated an unregistered broker and unregistered clearing agency in connection with its trading platform that facilitated…Read the Full Press Release Have a securities law question? [read post]
