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4 May 2023, 7:55 am
The Securities and Exchange Commission today announced 14 new members of the Small Business Capital Formation Advisory Committee. [read post]
25 May 2022, 6:06 am
The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities. [read post]
14 Feb 2025, 10:00 am
The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C. on April 10 from 1 – 4:30 p.m. [read post]
26 Oct 2021, 1:00 pm
The Securities and Exchange Commission today announced that it filed an emergency action, and obtained an injunction and asset freeze, against Steven M. [read post]
3 Jan 2023, 1:20 pm
The Securities and Exchange Commission today announced fraud charges against Cooper J. [read post]
16 Feb 2024, 7:15 am
The Securities and Exchange Commission’s Office of Credit Ratings published its annual Staff Report to Congress today on Nationally Recognized Statistical Rating Organizations (NRSROs), commonly known as credit rating agencies, to provide findings…Read the Full Press Release Have a securities law question? [read post]
25 Sep 2023, 9:30 am
The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11 million from more than 50 investors in a Ponzi scheme involving notes that were purportedly backed…Read the Full Press Release Have a securities law question? [read post]
21 Apr 2025, 11:10 am
The Securities and Exchange Commission today announced an award of approximately $6 million to joint whistleblowers who provided new information that led to the opening of an examination and provided a roadmap for an enforcement action that resulted in…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
30 Jun 2023, 10:30 am
The Securities and Exchange Commission today charged Oregon residents Robert D. [read post]
22 Nov 2023, 7:32 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, Nov. 29, which will include a discussion of the accredited investor definition and diversity and the…Read the Full Press Release Have a securities law question? [read post]
11 Jul 2023, 9:11 am
The Securities and Exchange Commission today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding Co. [read post]
25 Sep 2024, 1:06 pm
The Securities and Exchange Commission today announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock. [read post]
15 May 2024, 9:55 am
The staff of the Securities and Exchange Commission today published a new report of Investment Adviser Statistics, which is based on aggregated data filed by investment advisers on Form ADV. [read post]
24 Jun 2024, 12:00 pm
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 24 soliciting entities, six impersonators of genuine firms, and four…Read the Full Press Release Have a securities law question? [read post]
28 Sep 2023, 1:05 pm
The Securities and Exchange Commission today announced that Clear Channel Outdoor Holdings Inc. agreed to pay more than $26 million to resolve charges that it bribed Chinese government officials to obtain outdoor advertising contracts in violation of the…Read the Full Press Release Have a securities law question? [read post]
14 Aug 2024, 6:25 am
The Securities and Exchange Commission today announced that it obtained a preliminary injunction, asset freeze, and other emergency relief against Atlanta-based Drive Planning LLC and its founder and CEO, Russell Todd Burkhalter, to halt a $300 million…Read the Full Press Release Have a securities law question? [read post]
14 Apr 2025, 9:00 am
The Securities and Exchange Commission today published new data and analysis in a pair of reports that provide the investing public with updated key information about registered investment companies and money market funds. [read post]
14 Aug 2023, 7:46 am
The Securities and Exchange Commission today charged Crowe U.K. [read post]
23 Aug 2023, 10:22 am
The Securities and Exchange Commission today adopted new rules and rule amendments to enhance the regulation of private fund advisers and update the existing compliance rule that applies to all investment advisers. [read post]
18 Sep 2024, 12:20 pm
The Securities and Exchange Commission today announced settled charges against Rari Capital, Inc., a supposed decentralized finance (DeFi) protocol, and its co-founders, Jai Bhavnani, Jack Lipstone, and David Lucid, for misleading investors and engaging…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
