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20 Sep 2024, 7:45 am
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on Nov. 7, 2024. [read post]
9 Nov 2023, 10:51 am
The Securities and Exchange Commission today announced charges against Jake Soberal and Irma Olguin, Jr., the former co-CEOs of Fresno, California-based private technology services startup Bitwise Industries Inc., for misleading investors about the…Read the Full Press Release Have a securities law question? [read post]
23 Sep 2022, 1:20 pm
The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in…Read the Full Press ReleaseHave a securities law question? [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]
14 Jan 2025, 11:05 am
The Securities and Exchange Commission today announced that Chief Accountant Paul Munter plans to retire from federal service effective Jan. 24, 2025. [read post]
4 Apr 2023, 7:55 am
The Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) today released its Fiscal Year (FY) 2022 Annual Report to Congress. [read post]
26 Sep 2023, 1:02 pm
The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18 million to settle charges related to undisclosed conflicts of interest involving a cash…Read the Full Press Release Have a securities law question? [read post]
SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections
24 Jan 2024, 8:06 am
The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business…Read the Full Press Release Have a securities law question? [read post]
9 Aug 2024, 1:25 pm
The Securities and Exchange Commission today announced settled fraud charges against Ideanomics, Inc., formerly known as Seven Stars Cloud Group, Inc., and its former Chairman and CEO, Zheng (Bruno) Wu, for misleading the public about the company’s…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]
26 Sep 2024, 1:40 pm
The Securities and Exchange Commission today announced settled charges against Florida-based GQG Partners LLC, a registered investment adviser, for entering into agreements with candidates for employment and a former employee that made it more difficult…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
23 Dec 2022, 7:01 am
The Securities and Exchange Commission today voted to approve the 2023 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. [read post]
18 Jun 2024, 1:35 pm
The Securities and Exchange Commission today announced that R.R. [read post]
20 May 2024, 3:55 pm
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. [read post]
25 Jul 2024, 10:45 am
The Securities and Exchange Commission today charged Babu Ramaraj, a resident of Aldie, Virginia, with defrauding more than 70 investors of approximately $31 million through his company, DAB Inspection and Consulting Services LLC. [read post]
11 Jan 2023, 8:06 am
The Securities and Exchange Commission today announced that Paul Munter has been appointed Chief Accountant. [read post]
28 Jan 2025, 2:31 pm
The Securities and Exchange Commission’s Office of Credit Ratings (OCR) today published its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs) summarizing the findings of the NRSRO examinations and discussing…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
21 Apr 2025, 4:30 pm
Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. [read post]
20 May 2022, 6:15 am
The Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports (SARs) in a timely manner between April 2017 and October 2021. [read post]
13 Dec 2022, 9:47 am
The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered in Denmark, for misleading investors about its anti-money laundering (AML) compliance program in its…Read the Full Press ReleaseHave a securities law question? [read post]
