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28 May 2009, 1:01 pm
NASAA today endorsed proposed bipartisan legislation that would require hedge fund advisers to register with the Securities and Exchange Commission under the Investment Advisers Act of 1940. [read post]
25 Sep 2017, 8:13 pm
The press release states in part: The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors. [read post]
15 Feb 2011, 1:08 pm
Securities and Exchange Commission before the United States House Financial Services Committee. [read post]
9 Dec 2010, 2:10 pm
The SEC released the agenda for its December 15, 2010 Open Meeting: The Commission will consider whether to propose rule 3Cg-1 under the Exchange Act governing the exception to mandatory clearing of security-based swaps under Section 763(a) of the Dodd-Frank... [read post]
11 Aug 2011, 2:38 pm
Securities and Exchange Commission (Aug. 11, 2011): Issue Number 1:The Whistleblower program will bolster, not hamper, the internal compliance systems at companies across the country.... [read post]
8 Mar 2011, 12:31 pm
The House Financial Services Capital Markets Subcommittee will hold a hearing on March 10 on “Oversight of the Securities and Exchange Commission’s Operations, Activities, Challenges and FY 2012 Budget Request,” at which the directors of the agency's five divisions will... [read post]
17 Aug 2022, 3:57 am
In a decision with significant implications for securities litigation and enforcement, the United States Court of Appeals for the Second Circuit recently rebuffed an attempt by the US Securities and Exchange Commission (SEC) to broaden the scope of “scheme liability” under Section 10(b) of the Securities Exchange Act of 1934 and Section 17(a) of the Securities Act of 1933. [read post]
30 Oct 2023, 1:33 pm
The Securities and Exchange Commission today announced charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
3 Apr 2023, 10:40 am
The Securities and Exchange Commission today charged New Jersey-based Chatham Asset Management LLC and its founder, Anthony Melchiorre, in connection with improper trading of certain fixed income securities. [read post]
21 Nov 2023, 8:15 am
The Securities and Exchange Commission today charged Nadim Ahmed, a New York-based businessman and his companies, NuRide Transportation Group, LLC and NYC Green Transportation Group, LLC, with making fraudulent misrepresentations in securities offerings…Read the Full Press Release Have a securities law question? [read post]
12 Jan 2023, 2:02 pm
The Securities and Exchange Commission today charged Genesis Global Capital, LLC and Gemini Trust Company, LLC for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program. [read post]
13 Jul 2023, 8:36 am
The Securities and Exchange Commission today charged Celsius Network Limited (Celsius) and its founder and former CEO, Alex Mashinsky, for violating registration and anti-fraud provisions of the federal securities laws, including by failing to register…Read the Full Press Release Have a securities law question? [read post]
19 Jul 2024, 10:11 am
The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in…Read the Full Press Release Have a securities law question? [read post]
27 Sep 2024, 12:45 pm
The Securities and Exchange Commission today adopted rule and form amendments intended to enhance the security of its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system and improve filers’ access and account management capabilities. [read post]
17 Feb 2023, 8:35 am
The Securities and Exchange Commission today announced charges against former NBA player Paul Pierce for touting EMAX tokens, crypto asset securities offered and sold by EthereumMax, on social media without disclosing the payment he received for the…Read the Full Press ReleaseHave a securities law question? [read post]
29 Sep 2022, 1:10 pm
The Securities and Exchange Commission today charged Barclays PLC and Barclays Bank PLC (BBPLC) in connection with the unregistered offer and sale of an unprecedented amount of securities due to a failure to implement any internal control to track such…Read the Full Press ReleaseHave a securities law question? [read post]
28 Jun 2024, 10:10 am
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking…Read the Full Press Release Have a securities law question? [read post]
28 Jun 2024, 10:30 am
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking…Read the Full Press Release Have a securities law question? [read post]
20 Dec 2024, 8:06 am
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in violation of Rule 503 of Regulation D. [read post]
10 Jul 2023, 10:00 pm
A recent US Securities and Exchange Commission enforcement action demonstrates the Commission’s continued focus on executive perquisites and how cooperation with investigations may result in reduced—or no—civil monetary penalties being imposed. [read post]
