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27 Sep 2022, 6:05 am
The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United…Read the Full Press ReleaseHave a securities law question? [read post]
13 Dec 2022, 3:14 am
The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. [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]
19 Jul 2022, 8:20 am
The Securities and Exchange Commission today announced an award of more than $17 million to a whistleblower who provided information and assistance in a covered action and related action. [read post]
27 Jun 2023, 3:41 pm
The Securities and Exchange Commission today announced that it obtained a preliminary injunction, asset freeze, and other emergency relief against Legend Venture Partners LLC, a New York City-based unregistered broker-dealer, in connection with a…Read the Full Press Release Have a securities law question? [read post]
8 Feb 2024, 12:20 pm
The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading…Read the Full Press Release Have a securities law question? [read post]
7 Nov 2022, 11:30 am
The Securities and Exchange Commission today announced that Chief of Staff Prashant Yerramalli will leave the agency, effective Dec. 31, 2022. [read post]
2 Nov 2022, 1:05 pm
The Securities and Exchange Commission today charged Jebara Igbara, the founder of Halal Capital LLC, in connection with a more than $8 million scheme that targeted investors from the New York metropolitan area’s Muslim community. [read post]
16 Oct 2023, 8:01 am
The Securities and Exchange Commission’s Division of Examinations today released its 2024 examination priorities to inform investors and registrants of the key risks, examination topics, and priorities that the Division plans to focus on in the…Read the Full Press Release Have a securities law question? [read post]
29 Jun 2022, 11:00 am
The Securities and Exchange Commission today announced that Tracy S. [read post]
5 Jun 2023, 8:36 am
The Securities and Exchange Commission today charged Binance Holdings Ltd. [read post]
3 Jul 2023, 6:00 am
The Securities and Exchange Commission today announced settled charges against a California-based manufacturer of “smart” windows, View Inc., for failing to disclose $28 million in projected warranty-related liabilities to address a particular defect in…Read the Full Press Release Have a securities law question? [read post]
4 Jan 2023, 1:25 pm
The Securities and Exchange Commission today charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy Mossel, Linda Knott, AEO Publishing Inc, Banner Co-Op, Inc, and BannersGo, LLC for their involvement in a fraudulent investment scheme named CoinDeal…Read the Full Press ReleaseHave a securities law question? [read post]
29 Sep 2023, 5:31 am
The Securities and Exchange Commission today charged Newell Brands Inc., a Georgia-based consumer products company and its former CEO, Michael Polk, with misleading investors about Newell’s core sales growth, a non-GAAP (Generally Accepted Accounting…Read the Full Press Release Have a securities law question? [read post]
21 Jun 2023, 2:35 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on June 22 at 10:00 a.m. [read post]
25 Oct 2024, 6:40 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, Nov. 13, 2024. [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]
16 Jan 2025, 12:30 pm
The Securities and Exchange Commission today announced that YJ Fischer, the Director of the Office of International Affairs (OIA) since August 2021, will leave her role on Jan. 20, 2025. [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]
27 May 2025, 11:15 am
The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference on Emerging Trends in Asset Management on Thursday, June 5, 2025. [read post]
