Search for: "Securities and Exchange Commission"
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25 Jan 2024, 1:15 pm
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
5 Jun 2024, 9:36 am
The Securities and Exchange Commission has commenced its biennial collection of Diversity Self-Assessment Submissions from Regulated Entities. [read post]
11 Jun 2024, 11:01 am
The Securities and Exchange Commission today announced the appointment of Erica Y. [read post]
11 Jun 2024, 8:05 am
The Securities and Exchange Commission today charged Ilit Raz, CEO and founder of the now-shuttered artificial intelligence recruitment startup Joonko, with defrauding investors of at least $21 million by making false and misleading statements about the…Read the Full Press Release Have a securities law question? [read post]
27 Aug 2024, 9:50 am
The Securities and Exchange Commission today announced that Austal USA, LLC, a Mobile, Alabama-based shipbuilder, and its Australia-based parent company, Austal Limited, have agreed to settle the SEC’s charges that the companies conducted a fraudulent…Read the Full Press Release Have a securities law question? [read post]
12 Dec 2024, 2:15 pm
The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) that it controlled to make misleading statements to investors ahead of their…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
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]
1 Jul 2024, 1:30 pm
The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering…Read the Full Press Release Have a securities law question? [read post]
18 Jul 2022, 1:55 pm
The Securities and Exchange Commission today announced fraud charges against Equitable Financial Life Insurance Company for providing account statements to about 1.4 million variable annuity investors that included materially misleading statements and…Read the Full Press ReleaseHave a securities law question? [read post]
1 Mar 2023, 8:55 am
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. [read post]
28 Mar 2023, 3:45 pm
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 million to settle charges brought last April stemming from the…Read the Full Press ReleaseHave a securities law question? [read post]
4 Apr 2024, 1:15 pm
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from 1-2:30 p.m. [read post]
27 Sep 2024, 10:35 am
The Securities and Exchange Commission today announced charges against U.K. citizen Robert B. [read post]
7 Mar 2025, 8:01 am
The Securities and Exchange Commission today filed settled charges against registered investment adviser Momentum Advisors LLC, its former managing partner Allan J. [read post]
21 Aug 2024, 4:15 pm
The Securities and Exchange Commission today adopted a rule that updates the dollar threshold for a fund to qualify as a “qualifying venture capital fund” for purposes of the Investment Company Act of 1940. [read post]
30 Sep 2024, 12:25 pm
The Securities and Exchange Commission today charged John LoPinto, Robert Wilkos, and Laren Pisciotti for their roles in a fraudulent scheme involving investments in pre-IPO private companies. [read post]
31 Mar 2023, 7:55 am
The Securities and Exchange Commission today announced awards of more than $12 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. [read post]
5 Sep 2008, 11:58 am
For years, the Securities and Exchange Commission allowed fund firms to buy only highly rated municipal bonds for money market funds but now the S.E.C. is considering [...] [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]
17 Sep 2024, 9:21 am
The Securities and Exchange Commission today announced that Prager Metis CPAs, LLC (Prager) and its California professional services firm, Prager Metis CPAs LLP, (collectively, the Prager Entities) agreed to pay $1.95 million to resolve two actions…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
