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25 Oct 2024, 6:40 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, Nov. 13, 2024. [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]
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]
18 Apr 2023, 11:05 am
The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to…Read the Full Press Release Have a securities law question? [read post]
SEC Approves Funding Amendment to National Market System Plan Governing the Consolidated Audit Trail
6 Sep 2023, 8:40 am
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (CAT) (the “CAT NMS Plan”) to adopt a revised funding model, called the “Executed Share Model,” for the CAT…Read the Full Press Release Have a securities law question? [read post]
19 Sep 2023, 6:06 am
The Securities and Exchange Commission today announced settled charges against CBRE, Inc. [read post]
26 Sep 2023, 8:52 am
The Securities and Exchange Commission today released a report to Congress summarizing policy recommendations made during the 42nd Annual Government-Business Forum on Small Business Capital Formation. [read post]
26 Oct 2021, 1:00 pm
The Securities and Exchange Commission today announced that it filed an emergency action, and obtained an injunction and asset freeze, against Steven M. [read post]
28 Jun 2022, 3:10 am
The Securities and Exchange Commission today charged Ernst & Young LLP (EY) for cheating by its audit professionals on exams required to obtain and maintain Certified Public Accountant (CPA) licenses, and for withholding evidence of this misconduct…Read the Full Press ReleaseHave a securities law question? [read post]
20 Dec 2024, 5:45 am
The Securities and Exchange Commission today announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 million civil penalty to settle charges that it failed to maintain internal accounting controls to ensure that its…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
27 Apr 2022, 9:40 am
The Securities and Exchange Commission today announced that Inspector General Carl W. [read post]
20 Jun 2023, 3:36 pm
The Securities and Exchange Commission today charged New York-based investment adviser Insight Venture Management LLC with charging excess management fees and failing to disclose a conflict of interest to investors relating to its fee calculations. [read post]
13 Dec 2022, 3:14 am
The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. [read post]
26 Aug 2024, 8:50 am
The Securities and Exchange Commission today announced awards of more than $24 million to two whistleblowers whose information and assistance led to an SEC enforcement action and an action brought by another agency. [read post]
17 Sep 2024, 11:10 am
The Securities and Exchange Commission today charged five entities and three individuals in connection with two relationship investment scams involving fake crypto asset trading platforms NanoBit and CoinW6, respectively. [read post]
16 Mar 2023, 10:55 am
The Securities and Exchange Commission today charged American Patriot Brands Inc. [read post]
4 Apr 2023, 6:50 am
The Securities and Exchange Commission today charged Charlie Javice, the founder of the now shuttered student loan assistance company previously known as Frank, with fraud in connection with the $175 million sale of the company to JPMorgan Chase Bank, N. [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]
9 Feb 2024, 6:06 am
The Securities and Exchange Commission today announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for widespread and longstanding failures by the firms and…Read the Full Press Release Have a securities law question? [read post]
12 Sep 2024, 12:30 pm
The Securities and Exchange Commission today charged now-defunct digital pharmacy startup Medly Health Inc’s. co-founder and former CEO, Marg Patel, former CFO, Robert Horowitz, and former Head of Rx Operations, Chintankumar Bhatt, with defrauding…Read the Full Press Release Have a securities law question? [read post]
