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17 Jan 2025, 7:00 am
The Securities and Exchange Commission today announced settled charges against GrubMarket Inc., a private, California-based e-commerce food distributor, for providing investors with financial information that the company should have known was unreliable…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Jan 2025, 6:10 am
The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple failures related to its anti-money laundering (AML) program. [read post]
17 Jan 2025, 6:01 am
The Securities and Exchange Commission today announced settled charges against registered investment advisers Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively Wells Fargo Advisors) and against Merrill Lynch,…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
28 Jan 2025, 2:31 pm
The Securities and Exchange Commission’s Office of Credit Ratings (OCR) today published its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs) summarizing the findings of the NRSRO examinations and discussing…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
3 Mar 2025, 3:20 pm
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. [read post]
30 Jan 2025, 7:01 am
The Securities and Exchange Commission today announced Acting Chairman Mark T. [read post]
1 Apr 2025, 12:25 pm
The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of the…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
27 Feb 2025, 1:05 pm
The Securities and Exchange Commission today filed charges against Justinas Butkus, of Lithuania, and two companies he owned and controlled, HMC Trading LLC and HMC Management LLC, for fraudulently raising approximately $4.1 million from 64 investors by…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
27 Feb 2025, 10:30 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington, D.C., on March 6, at 10 a.m. [read post]
26 Feb 2025, 10:21 am
The Securities and Exchange Commission today charged Alan Burak, founder of Never Alone Capital LLC, with orchestrating a fraudulent scheme that raised approximately $4 million, most of which Burak misappropriated for personal expenses. [read post]
2 Apr 2025, 8:30 am
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced, as part of April’s National Financial Literacy Month, it will highlight the key role investing plays in both powering the U.S. economy and…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Mar 2025, 2:40 pm
The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. [read post]
20 Mar 2025, 9:40 am
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. [read post]
17 Mar 2025, 1:40 pm
The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25…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]
14 Mar 2025, 3:45 pm
The Securities and Exchange Commission today announced a six-month extension of the compliance dates for amendments adopted in September 2023 to the Investment Company Act “Names Rule,” which addresses fund names likely to mislead investors about a fund’…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
7 Apr 2025, 6:35 am
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading. [read post]
21 Apr 2025, 4:30 pm
Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. [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]
17 Apr 2025, 7:40 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that its meeting on Tuesday, May 6, 2025, will focus on the practical market considerations and regulatory challenges of Regulation A. [read post]
