Search for: "Securities and Exchange Commission"
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3 Mar 2023, 7:10 am
The Securities and Exchange Commission today charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. [read post]
21 Aug 2023, 7:05 am
The Securities and Exchange Commission today announced charges against Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. [read post]
14 Dec 2023, 1:31 pm
The Securities and Exchange Commission today charged Florida-based Titanium Capital LLC and its founder Henry Abdo with operating a Ponzi scheme that raised at least $5.3 million from more than 160 retail investors in the United States and abroad. [read post]
27 Sep 2023, 6:05 am
The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely report information about their holdings and transactions in company stock. [read post]
19 Sep 2024, 12:31 pm
The Securities and Exchange Commission today released a report to Congress summarizing policy recommendations made during the SEC’s 43rd Annual Small Business Forum. [read post]
19 Dec 2024, 1:35 pm
The Securities and Exchange Commission today announced that Illinois-based AAR CORP., a global provider of aviation services and products, agreed to resolve Foreign Corrupt Practices Act (FCPA) charges in connection with two bribery schemes. [read post]
12 Jul 2023, 8:55 am
The Securities and Exchange Commission today adopted amendments to certain rules that govern money market funds under the Investment Company Act of 1940. [read post]
12 Sep 2023, 6:02 am
The Securities and Exchange Commission today charged Alfonse Gregory Giugliano, CPA, the former National Assurance Services Leader at Marcum LLP, a public accounting firm, with failing to sufficiently address and remediate numerous deficiencies in Marcum…Read the Full Press Release Have a securities law question? [read post]
2 Nov 2023, 12:47 pm
The Securities and Exchange Commission today charged John Hughes, president and chief compliance officer of registered investment adviser Prophecy Asset Management LP, for his involvement in a multi-year fraud that concealed losses of hundreds of…Read the Full Press Release Have a securities law question? [read post]
18 Sep 2023, 6:18 am
The Securities and Exchange Commission today charged Lyft Inc. for failing to disclose a company board director’s role in a shareholder’s sale of approximately $424 million worth of private shares of Lyft’s stock prior to the company’s initial public…Read the Full Press Release Have a securities law question? [read post]
13 Dec 2023, 10:35 am
The Securities and Exchange Commission today approved the 2024 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. [read post]
27 Jun 2024, 8:25 am
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives for fiscal year 2025. [read post]
2 Aug 2024, 10:00 am
Securities and Exchange Commission today proposed joint data standards under the Financial Data Transparency Act of 2022 that would establish technical standards for data submitted to certain financial regulatory agencies. [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]
15 Jul 2022, 10:35 am
The Securities and Exchange Commission today announced awards totaling more than $6 million to two whistleblowers who provided critical information and assistance in two separate covered actions. [read post]
9 Feb 2023, 12:20 pm
The Securities and Exchange Commission today charged Payward Ventures, Inc. and Payward Trading Ltd., both commonly known as Kraken, with failing to register the offer and sale of their crypto asset staking-as-a-service program, whereby investors…Read the Full Press ReleaseHave a securities law question? [read post]
29 Mar 2023, 11:25 am
The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. [read post]
29 Sep 2023, 10:41 am
The Securities and Exchange Commission today proposed tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs). [read post]
22 Jun 2023, 1:51 pm
The Securities and Exchange Commission today charged William K. [read post]
9 Sep 2022, 1:05 pm
The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance's Disclosure Review Program (DRP). [read post]
