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24 May 2022, 9:05 am
The Securities and Exchange Commission today announced the appointment of Richard R. [read post]
29 Feb 2024, 7:45 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on March 7 at 10 a.m. [read post]
13 Jan 2023, 8:50 am
The Securities and Exchange Commission today announced that Renee Jones, Director of the Division of Corporation Finance, will depart the agency to return to her faculty position at Boston College Law School, effective Feb. 3, 2023. [read post]
26 Sep 2023, 2:05 pm
The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen fuel cell electric vehicles (FCEVs), for misleading investors about its business relationships…Read the Full Press Release Have a securities law question? [read post]
27 May 2022, 8:20 am
The Securities and Exchange Commission today announced that Investor Advocate Rick A. [read post]
15 Aug 2022, 11:10 am
The Securities and Exchange Commission today announced that Monique C. [read post]
27 Dec 2022, 9:50 am
The Securities and Exchange Commission today announced that former federal prosecutor Antonia M. [read post]
30 Mar 2023, 2:00 pm
The Securities and Exchange Commission today filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in…Read the Full Press ReleaseHave a securities law question? [read post]
15 Oct 2010, 11:10 am
The Securities and Exchange Commission (SEC) issued a proposal this week to require issuers of asset-backed securities to perform a review of the assets underlying the relevant securities and publicly disclose the review's findings and conclusions. [read post]
3 Feb 2023, 6:01 am
The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure…Read the Full Press ReleaseHave a securities law question? [read post]
20 Dec 2024, 7:00 am
The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
10 Feb 2025, 3:01 pm
The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural persons. [read post]
15 Mar 2023, 7:30 am
The Securities and Exchange Commission today charged exiled Chinese businessman Miles Guo and his financial advisor William Je for their involvement in unregistered and fraudulent offerings that raised more than $850 million. [read post]
30 Aug 2022, 12:00 pm
The Securities and Exchange Commission today charged two North Carolina-based executives, Gregory E. [read post]
6 May 2022, 6:40 am
The Securities and Exchange Commission today announced settled charges against technology company NVIDIA Corporation for inadequate disclosures concerning the impact of cryptomining on the company’s gaming business. [read post]
2 Jun 2022, 9:11 am
The Securities and Exchange Commission today charged the town of Sterlington, Louisiana and its former mayor, Vern A. [read post]
25 Apr 2023, 8:02 am
The Securities and Exchange Commission today announced that Eric R. [read post]
27 Jul 2006, 11:26 pm
The US Attorney’s Office, the Securities and Exchange Commission (SEC) and the FBI have filed criminal and civil securities fraud charges against Gregory Reyes, the former chief executive, president and chairman of storage firm Brocade Communications Systems. [read post]
13 Jun 2022, 1:05 pm
The Securities and Exchange Commission today announced insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection with the parent company’s $2 billion acquisition…Read the Full Press ReleaseHave a securities law question? [read post]
7 Jul 2023, 8:11 am
The Securities and Exchange Commission today charged former U.S. [read post]
