Search for: "Securities and Exchange Commission"
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24 Sep 2024, 12:45 pm
The Securities and Exchange Commission today announced fraud charges against Baba Nadimpalli, the co-founder and former CEO of SKAEL Inc., a San Francisco-based private technology company that developed business automation software. [read post]
13 Jun 2024, 2:50 pm
The Securities and Exchange Commission today announced that Terraform Labs PTE, Ltd. and Do Kwon agreed to pay more than $4.5 billion following a unanimous jury verdict holding them liable for orchestrating a years-long fraud involving crypto asset…Read the Full Press Release Have a securities law question? [read post]
11 Dec 2024, 1:20 pm
The Securities and Exchange Commission today announced insider trading charges against Ken Peterman, the former CEO, president, and Chair of the Board of Comtech Telecommunications Corp., in connection with his sale of Comtech shares on the basis of…More information at SECLaw.com Read the Full Press Release Have 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]
5 Apr 2022, 10:30 am
The Securities and Exchange Commission today charged Melville ten Cate, a U.S. citizen residing abroad, with fraud stemming from his allegedly phony offer to purchase Textron – a large U.S. [read post]
5 Jan 2023, 11:00 am
The Securities and Exchange Commission today charged Randy Robertson, a former BlackRock Advisors, LLC portfolio manager, for failing to disclose a conflict of interest arising from his relationship with a film distribution company in which the fund he…Read the Full Press ReleaseHave a securities law question? [read post]
2 Nov 2022, 9:25 am
The Securities and Exchange Commission today voted to propose amendments to better prepare open-end funds for stressed conditions and to mitigate dilution of shareholders’ interests. [read post]
12 Jul 2024, 7:00 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, July 30, 2024, which will include an exploration of recent changes to the U.S. [read post]
19 Sep 2024, 8:36 am
The Securities and Exchange Commission today announced registered investment adviser Macquarie Investment Management Business Trust (MIMBT) will pay a total of $79.8 million to settle charges for overvaluing approximately 4,900 largely illiquid…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
24 Mar 2022, 10:05 am
The Securities and Exchange Commission today announced that Daniel S. [read post]
25 Mar 2022, 10:00 am
The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and credible information that prompted SEC staff to open an investigation that resulted in a successful SEC covered action. [read post]
3 Oct 2022, 7:21 am
The Securities and Exchange Commission today announced that it will highlight the importance of long-term planning and investor resilience during World Investor Week (WIW) 2022, which takes place October 3-9. [read post]
12 Jun 2023, 12:21 pm
The Securities and Exchange Commission today charged investment adviser Sabby Management LLC and its managing partner, Hal D. [read post]
15 Mar 2023, 8:35 am
The Securities and Exchange Commission today proposed amendments to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, investment companies, registered investment advisers, and…Read the Full Press ReleaseHave a securities law question? [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]
14 Nov 2023, 12:11 pm
The Securities and Exchange Commission today announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over…Read the Full Press Release Have a securities law question? [read post]
5 Jan 2024, 9:35 am
The Securities and Exchange Commission today announced that University of Denver law professor Stacey Bowers has been named the new director of the SEC’s Office of the Advocate for Small Business Capital Formation (OASB). [read post]
14 Feb 2024, 12:20 pm
The Securities and Exchange Commission today proposed a rule that would update the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940 (Act). [read post]
28 Feb 2024, 8:30 am
The Securities and Exchange Commission today announced that William Birdthistle, the Director of the Division of Investment Management, will depart the agency, effective March 8, 2024. [read post]
9 Dec 2024, 10:20 am
The Securities and Exchange Commission today announced that Haoxiang Zhu, Director of the Division of Trading and Markets, will depart the agency effective Dec. 10, 2024. [read post]
