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26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
8 Dec 2022, 10:00 pm
The guidance includes a “sample” crypto-specific comment letter focused on disclosure that public companies should consider providing in filings made under the Securities Act of 1933 (Securities Act) and Securities Exchange Act of 1934 (Exchange Act), as applicable. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
26 Feb 2024, 10:00 pm
On February 6, 2024, the US Securities and Exchange Commission (SEC) adopted new Rules 3a5-4 and 3a44-2 (the Final Rules) under the Securities Exchange Act of 1934 (the Exchange Act) to further define what it means to be engaged in the business of dealing in securities and government securities. [read post]
11 Jan 2011, 7:58 pm
On January 11, 2011, the Securities and Exchange Commission sued Charles Schwab Investment Management and Charles Schwab & Co., Inc. over alleged misleading statements regarding the Schwab YieldPlus Fund and failing to establish, maintain and enforce policies and procedures to prevent the misuse of material, nonpublic information. [read post]
13 Apr 2011, 1:43 pm
The Securities and Exchange Commission today charged a former hedge fund portfolio manager with insider trading in a bio-pharmaceutical company based on confidential information about negative results of the company’s clinical drug trial. [read post]
15 Jun 2021, 8:49 am
Securities and Exchange Commission’s Division of Trading and Markets. [read post]
26 Feb 2015, 12:55 pm
[This story previously appeared in Securities Regulation Daily.]By Rodney F. [read post]
11 Jun 2018, 9:30 am
On June 6, 2018, the Securities and Exchange Commission (the “SEC”) charged Essex Capital Corporation and its founder, Ralph Iannelli, with defrauding investors in connection with the sale of over $80 million in promissory notes. [read post]
28 Sep 2022, 2:45 pm
The Securities and Exchange Commission today announced charges against The Hydrogen Technology Corporation, its former CEO, Michael Ross Kane, and Tyler Ostern, the CEO of Moonwalkers Trading Limited, a self-described “market making” firm, for their…Read the Full Press ReleaseHave a securities law question? [read post]
22 Mar 2023, 12:45 pm
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. [read post]
30 May 2023, 11:15 am
The Securities and Exchange Commission today announced that former Coinbase product manager Ishan Wahi and his brother, Nikhil Wahi, agreed to settle charges that they engaged in insider trading through a scheme to trade ahead of multiple announcements…Read the Full Press Release Have a securities law question? [read post]
17 May 2022, 6:50 am
The Securities and Exchange Commission (SEC) today charged Allianz Global Investors U.S. [read post]
10 May 2024, 11:10 am
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. [read post]
30 Jul 2024, 8:15 am
The Securities and Exchange Commission today charged Nader Al-Naji with perpetrating a multi-million-dollar fraudulent crypto asset scheme involving a social media platform called BitClout and its native token of the same name (herein, “BTCLT”). [read post]
12 Sep 2024, 9:02 am
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Sept. 19, 2024, at 10 a.m. [read post]
9 Oct 2024, 1:06 pm
The Securities and Exchange Commission today announced fraud charges against three companies purporting to be market makers and nine individuals for engaging in schemes to manipulate the markets for various crypto assets being offered and sold as…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
17 Sep 2024, 1:30 pm
The Securities and Exchange Commission today announced charges against 11 institutional investment managers for failing to file reports, known as Forms 13F, that they were required to file because they have discretion over more than $100 million in…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
28 Mar 2022, 8:35 am
The Securities and Exchange Commission today proposed two rules that would require market participants, such as proprietary (or principal) trading firms, who assume certain dealer functions, in particular those who as act as liquidity providers in the…Read the Full Press ReleaseHave a securities law question? [read post]
1 Nov 2023, 9:40 am
The Securities and Exchange Commission today charged SafeMoon LLC, its creator Kyle Nagy, SafeMoon US LLC, and the companies’ Chief Executive Officer, John Karony, and Chief Technology Officer, Thomas Smith, for perpetrating a massive fraudulent scheme…Read the Full Press Release Have a securities law question? [read post]
