Search for: "Securities and Exchange Commission"
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18 Dec 2024, 8:55 am
The Securities and Exchange Commission voted today to approve the 2025 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. [read post]
13 Sep 2024, 12:36 pm
The Securities and Exchange Commission today charged Federico Nannini, his father, and two of his friends for insider trading in advance of the pending acquisition of Infrastructure and Energy Alternatives, Inc. [read post]
24 Sep 2024, 10:45 am
The Securities and Exchange Commission today announced settled charges against TrueCoin LLC and TrustToken Inc. for their fraudulent and unregistered sales of investment contracts involving TrueUSD (TUSD), a purported stablecoin. [read post]
23 Sep 2022, 1:20 pm
The Securities and Exchange Commission today announced settled charges against Compass Minerals International Inc. for misleading investors about a technology upgrade that the company claimed would reduce costs at its most significant mine, but in…Read the Full Press ReleaseHave a securities law question? [read post]
18 Nov 2022, 10:05 am
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration of…Read the Full Press ReleaseHave a securities law question? [read post]
22 Dec 2023, 7:00 am
The Securities and Exchange Commission today announced awards of more than $28 million combined to seven individuals whose information and assistance led to a successful SEC enforcement action. [read post]
15 Jan 2025, 7:35 am
The Securities and Exchange Commission today announced that Jessica A. [read post]
27 Oct 2022, 7:05 am
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 35 soliciting entities, four impersonators of genuine firms, and four…Read the Full Press ReleaseHave 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]
6 Jun 2023, 4:26 pm
The Securities and Exchange Commission today filed an emergency action application seeking a temporary restraining order freezing assets, directing defendants to repatriate assets held for the benefit of customers of the Binance.US crypto trading…Read the Full Press Release Have a securities law question? [read post]
12 Jan 2024, 5:30 am
The Securities and Exchange Commission today charged investment banking giant Morgan Stanley & Co. [read post]
7 Feb 2024, 10:05 am
The Securities and Exchange Commission today announced charges against TradeStation Crypto, Inc., based in Plantation, Florida, for failing to register the offer and sale of a crypto lending product that allowed U.S. investors to deposit or purchase…Read the Full Press Release Have a securities law question? [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]
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 Jan 2023, 6:05 am
The Securities and Exchange Commission today charged Stephen J. [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]
10 Sep 2024, 7:51 am
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. [read post]
13 Jan 2025, 1:36 pm
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
9 Aug 2022, 10:30 am
The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. [read post]
22 Sep 2022, 1:51 pm
The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. [read post]
