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8 Mar 2025, 6:30 am
Securities and Exchange Commission. [read post]
8 Mar 2025, 6:30 am
Securities and Exchange Commission. [read post]
7 Mar 2025, 8:39 am
On March 7, 2025, the Securities and Exchange Commission (SEC) announced settled charges against Momentum Advisors LLC, a New York-based registered investment advisory firm, along with its former managing partner Allan J. [read post]
7 Mar 2025, 8:01 am
The Securities and Exchange Commission today filed settled charges against registered investment adviser Momentum Advisors LLC, its former managing partner Allan J. [read post]
7 Mar 2025, 7:49 am
The commission finds that On October 31, 2022, a judgment was entered by consent against Niranjan, permanently enjoining him from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. [read post]
7 Mar 2025, 6:52 am
Agencies such as the Federal Trade Commission (FTC), the Securities and Exchange Commission (SEC), and state attorneys general have broadened their enforcement actions against businesses, including law firms that fail to maintain reasonable cybersecurity. [read post]
7 Mar 2025, 3:25 am
Dan notes: On February 11, the Securities and Exchange Commission issued a notice stating that the Public Company Accounting Oversight Board had withdrawn its rules on firm reporting and firm and engagement metrics. [read post]
7 Mar 2025, 3:00 am
Court of Appeals for the District of Columbia Circuit paused that ruling, saying the government had met the “stringent requirements” for securing a stay during the appeal. [read post]
6 Mar 2025, 3:33 pm
Securities and Exchange Commission (SEC) has announced significant changes to its confidential filing procedures, aiming to support capital formation and provide greater flexibility for companies planning public offerings. [read post]
6 Mar 2025, 1:28 pm
The Securities and Exchange Commission reportedly filed a complaint in July 2022 against Appelbaum alleging that Appelbaum was making unsuitable recommendations and engaging in unauthorized trading. [read post]
6 Mar 2025, 11:45 am
The Securities and Exchange Commission is providing extensive guidance and resources to assist filers with upcoming access and account management enhancements to the security of the agency’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR)…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
6 Mar 2025, 6:51 am
” “Over the past two decades, the Big Four have amassed lucrative consulting arms despite strict conflict-of-interest rules set after accounting scandals toppled Enron Corp. and WorldCom Inc. and now policed by the Securities and Exchange Commission. [read post]
6 Mar 2025, 6:17 am
The commission finds that On January 10, 2024, a final judgment was entered by consent against Kennedy, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 (‘Securities Act’) and Section 10(b) of the Exchange Act and Rules 10b-5 and 15l-1(a)(1) thereunder, as set forth in the judgment entered in the civil action entitled Securities and Exchange Commission v. [read post]
6 Mar 2025, 5:51 am
” President Donald Trump declared, “[W]e need Greenland for national security purposes. [read post]
6 Mar 2025, 3:11 am
Court of Appeals for the Fifth Circuit that the Securities and Exchange Commission’s (SEC) use of an administrative proceeding conducted by an SEC ALJ to impose a civil penalty violated the Seventh Amendment’s right to a jury trial. [read post]
5 Mar 2025, 4:10 am
This change in the reporting requirements applicable to beneficial owners is significant for companies, because when it comes to disclosure concerning greater than 5% beneficial owners, Instruction 3 to Item 403 of Regulation S-K states: The registrant shall be deemed to know the contents of any statements filed with the Commission pursuant to section 13(d) or 13(g) of the Exchange Act. [read post]
4 Mar 2025, 9:04 am
These instruments can be stocks, bonds, certificates of deposit, treasury investments, and similar items under the jurisdiction of the Securities and Exchange Commission (SEC). [read post]
4 Mar 2025, 8:09 am
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted against Centaurus Financial, Inc. [read post]
4 Mar 2025, 8:06 am
The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted against Ashish Aggarwal (‘Respondent’). [read post]
4 Mar 2025, 7:55 am
Securities and Exchange Commission (SEC) on January 21, 2025, has resulted in a number of key policy developments. [read post]
