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SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures
January 18, 2024
SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief
January 18, 2024
Mark Uyeda Sworn in for Second Term as SEC Commissioner
January 18, 2024
Client Update: SEC Issues Staff Report on Accredited Investor Definition
January 22, 2024
SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief
December 27, 2023
SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud
December 27, 2023
Dean C. Metry Named Chief Administrative Law Judge at SEC
December 27, 2023
Exchange Act Exemptive Notice: Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the SEA, from Rule 15c2-11 for Securities Sold in Compliance with the Safe Harbor of Rule 144A
December 27, 2023
Exchange Act Exemptive Notice: Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS under the Exchange Act
December 27, 2023
SEC Notice: Vista Financial Advisors, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
December 27, 2023
SEC Statement: Custody of Digital Asset Securities by Special Purpose Broker-Dealers; Statement and Request for Comment
December 27, 2023
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
November 10, 2023
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
November 10, 2023
SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities
November 10, 2023
Rule Adoption: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
November 10, 2023
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