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14 May 2024, 11:55 am
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and…Read the Full Press Release Have a securities law question? [read post]
18 Mar 2020, 5:45 am
On March 4, 2020, the Securities and Exchange Commission (the “Commission”) proposed amendments to the private offering exemptive framework under the Securities Act of 1933, as amended (the “Securities Act”) to “simplify, harmonize, and improve certain aspects of the framework” with the goal of promoting capital formation while maintaining investor protections. [read post]
14 Feb 2023, 12:05 pm
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. [read post]
28 Apr 2023, 12:46 pm
The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a…Read the Full Press Release Have a securities law question? [read post]
27 Mar 2024, 7:05 am
The Securities and Exchange Commission today adopted amendments to the rule permitting certain internet investment advisers to register with the Commission (the “internet adviser exemption”). [read post]
6 May 2022, 8:35 am
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action. [read post]
16 Dec 2022, 7:54 am
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2022 Annual Report to Congress and the Commission. [read post]
4 Sep 2024, 1:30 pm
The Securities and Exchange Commission today announced settled charges against three affiliated registrants, Commission-registered broker-dealer Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered…Read the Full Press Release Have a securities law question? [read post]
31 Jan 2023, 9:21 am
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. [read post]
17 Oct 2023, 12:03 pm
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened a hybrid meeting today to discuss certain issues relating to…Read the Full Press Release Have a securities law question? [read post]
12 Dec 2024, 11:20 am
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report today to Congress and the Commission. [read post]
20 Sep 2023, 2:12 pm
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government. [read post]
15 Dec 2023, 8:11 am
The Securities and Exchange Commission today issued a staff report on the accredited investor definition. [read post]
28 Aug 2024, 8:20 am
The Securities and Exchange Commission today adopted amendments to reporting requirements on Form N-PORT to provide the Commission and investors with more timely information about certain registered investment companies (funds). [read post]
7 Nov 2022, 8:36 am
The Securities and Exchange Commission today named Keith E. [read post]
25 Sep 2023, 7:00 am
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made in several Commission filings, which increased GTT’s reported operating income by…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 the members of the Crypto Task Force staff, which is advising the Commission on matters related to crypto. [read post]
27 Feb 2025, 1:20 pm
The Securities and Exchange Commission today announced that the Commission has filed a joint stipulation with Coinbase Inc. and Coinbase Global Inc. to dismiss the ongoing civil enforcement action against the two entities. [read post]
27 Mar 2025, 1:06 pm
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. [read post]
23 Nov 2020, 8:42 am
Retail Investors Were Allegedly Told To Hold Exchange-Traded Products for Too Long In separate settlements reached with the US Securities and Exchange Commission (SEC), Royal Alliance Associates, Securities America Advisors, Summit Financial Group, Benjamin F. [read post]
