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2 Mar 2025, 9:05 pm
Securities and Exchange Commission. [read post]
1 Mar 2025, 12:14 pm
The firm has played a key role in security assessments for the Committee on Foreign Investment in the United States (CFIUS), corporate monitorships for the Department of Justice and the Securities and Exchange Commission, and technical security audits designed to mitigate cybersecurity risks. [read post]
There are Recent Customer Complaints with Broker Jesse Krapf in Firm Spartan Capital Securities, LLC
1 Mar 2025, 6:17 am
Krapf’s trading in the customer’s account generated total trading costs of $96,496, including $92,847 in commissions, and caused $41,017 in total realized losses. [read post]
28 Feb 2025, 9:05 pm
Although it preserves the Federal Reserve’s independence to set interest rates, the order also helps set up a new financial crisis by ending the independence of financial regulators such as the Federal Reserve and the Securities and Exchange Commission, as promised by Project 2025. [read post]
28 Feb 2025, 9:36 am
The Securities and Exchange Commission today announced it will hold a roundtable discussion on Artificial Intelligence in the financial industry. [read post]
27 Feb 2025, 9:05 pm
Securities and Exchange Commission (SEC) intends to dismiss a lawsuit against it. [read post]
27 Feb 2025, 2:08 pm
Securities and Exchange Commission (“SEC”) is set to drop its enforcement action against the company. [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 Feb 2025, 1:05 pm
The Securities and Exchange Commission today filed charges against Justinas Butkus, of Lithuania, and two companies he owned and controlled, HMC Trading LLC and HMC Management LLC, for fraudulently raising approximately $4.1 million from 64 investors by…More information at SECLaw.com Read the Full Press Release Have a securities law question? [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 Feb 2025, 5:00 am
” The accountability order extends direct presidential oversight beyond the “core” executive-branch departments to federal “independent agencies,” including multi-member commissions, such as the Securities and Exchange Commission (SEC), the Federal Trade Commission (FTC), and the Federal Communications Commission (FCC). [read post]
26 Feb 2025, 9:01 pm
The Securities and Exchange Commission (SEC) is not subject to this order and does not appear to be prohibited from continued enforcement of the FCPA, though priorities, resourcing and pace of enforcement may shift in the near term. [read post]
26 Feb 2025, 10:21 am
The Securities and Exchange Commission today charged Alan Burak, founder of Never Alone Capital LLC, with orchestrating a fraudulent scheme that raised approximately $4 million, most of which Burak misappropriated for personal expenses. [read post]
26 Feb 2025, 7:59 am
The United States Securities & Exchange Commission (SEC) established its Office of the Whistleblower in 2011. [read post]
26 Feb 2025, 6:50 am
The findings stated that upon joining the firm, Bennett disclosed that he had been engaging in an OBA with a company that provides online estate planning services, by referring individuals to the company in exchange for referral commissions. [read post]
26 Feb 2025, 1:14 am
The Securities and Futures Commission’s (SFC) has on 19 February 2025 rolled out a new regulatory roadmap setting out its core guiding principles to continue Hong Kong’s development as a virtual assets (VA) hub. [read post]
25 Feb 2025, 4:09 pm
Between November 2024 and January 2025, the Australian Securities and Investments Commission (ASIC) released draft guidance for the new sustainability reporting regime, as well as guidance on the financial Advisor reforms in the Treasury Laws Amendments (Delivering Better Financial Outcomes and Other Measures) Act 2024. [read post]
25 Feb 2025, 3:25 pm
The Securities and Exchange Commission today extended the compliance dates for Rule 17ad-22(e)(18)(iv)(A) and (B) under the Securities Exchange Act by one year to Dec. 31, 2026, for eligible cash market transactions, and June 30, 2027, for eligible repo…More information at SECLaw.com Read the Full Press Release Have a securities law question? [read post]
25 Feb 2025, 9:00 am
Keep an eye on the SEC Proposed and Adopted Rules Tracker for the latest updates from the Securities and Exchange Commission. [read post]
25 Feb 2025, 7:46 am
Although not without historical controversy, it has for nearly 90 years been understood that the heads of these types of agencies—which include numerous heavyweights such as the Federal Trade Commission (FTC), the Federal Communications Commission, the Securities and Exchange Commission, the National Labor Relations Board (NLRB), and the Federal Energy Regulatory Commission, all of which are led by Senate-confirmed appointees—enjoy a… [read post]
