Search for: "Securities and Exchange Commission"
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13 Sep 2024, 10:00 am
The Securities and Exchange Commission today announced settled charges against Zymergen Inc., an Emeryville, California-based biotechnology company, for misleading IPO investors about its overall market potential, revenue prospects, and customer pipeline…Read the Full Press Release Have a securities law question? [read post]
22 Nov 2024, 8:21 am
The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment Company, LLC have agreed to settle charges that they filed with law enforcement suspicious…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
3 May 2024, 2:15 pm
The Securities and Exchange Commission today announced that Nathaniel H. [read post]
6 Mar 2023, 8:45 am
The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC…Read the Full Press ReleaseHave a securities law question? [read post]
20 Jun 2023, 1:21 pm
The Securities and Exchange Commission today announced settled charges against Stanley Black & Decker Inc., a publicly traded tools company, for failing to disclose perquisites it provided to certain executives. [read post]
4 Aug 2023, 8:05 am
The Securities and Exchange Commission today announced awards of more than $104 million to seven individuals whose information and assistance led to a successful SEC enforcement action and related actions brought by another agency. [read post]
29 Jun 2022, 11:00 am
The Securities and Exchange Commission today announced that Tracy S. [read post]
8 Feb 2024, 12:20 pm
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading…Read the Full Press Release Have a securities law question? [read post]
3 May 2022, 2:05 am
The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for protecting investors in crypto markets and from cyber-related threats. [read post]
27 Dec 2022, 9:50 am
The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. [read post]
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
14 May 2024, 10:15 am
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to…Read the Full Press Release Have a securities law question? [read post]
28 Jul 2022, 3:40 pm
The Securities and Exchange Commission today released a report to Congress, which summarizes policy recommendations made during the 41st Annual Government-Business Forum on Small Business Capital Formation. [read post]
25 Aug 2023, 6:16 am
The Securities and Exchange Commission today announced that 3M Company agreed to pay more than $6.5 million to resolve charges that it violated the books and records and internal controls provisions of the Foreign Corrupt Practices Act (FCPA). [read post]
21 Jun 2023, 8:05 am
The Securities and Exchange Commission today charged audit firm Marcum LLP with systemic quality control failures and violations of audit standards in connection with audit work for hundreds of special purpose acquisition company (SPAC) clients beginning…Read the Full Press Release Have a securities law question? [read post]
26 Oct 2011, 10:39 am
The US Securities and Exchange Commission [official website] unsealed the findings of its investigation which... [read post]
6 Sep 2022, 11:25 am
The Securities and Exchange Commission today charged New York-based investment adviser Perceptive Advisors LLC with failing to disclose conflicts of interest regarding its personnel’s ownership of sponsors of special purpose acquisition companies (SPACs…Read the Full Press ReleaseHave a securities law question? [read post]
16 Jun 2023, 7:00 am
The Securities and Exchange Commission today announced that registered investment adviser Pacific Investment Management Company LLC (PIMCO) will pay $9 million to settle two enforcement actions relating to disclosure and policies and procedures…Read the Full Press Release Have a securities law question? [read post]
20 Sep 2023, 10:30 am
The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely to mislead investors about a fund’s investments and risks. [read post]
22 Jun 2022, 12:50 pm
The report, which includes contributions related to the Securities and Exchange Commission, lists short- and long-term…Read the Full Press ReleaseHave a securities law question? [read post]
