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SEC Charges Rimar Capital Entities and Owner Itai Liptz for Defrauding Investors by Making False and Misleading Statements About Use of Artificial Intelligence
October 10, 2024
SEC Charges Three So-Called Market Makers and Nine Individuals in Crackdown on Manipulation of Crypto Assets Offered and Sold as Securities
October 10, 2024
SEC Announces Departure of Enforcement Director Gurbir S. Grewal
October 10, 2024
SEC Monitoring Impact of Hurricane Helene on Capital Markets
September 30, 2024
SEC Charges Advisory Firm Inspire Investing With Misleading Investors Regarding Its Investment Strategy
September 30, 2024
SEC Charges DeFi Platform Rari Capital and its Founders With Misleading Investors and Acting as Unregistered Brokers
September 30, 2024
SEC Charges Broker-Dealer First Horizon With Regulation Best Interest Violations
September 30, 2024
SEC Charges 11 Institutional Investment Managers with Failing to Report Certain Securities Holdings
September 30, 2024
SEC Charges 12 Municipal Advisors With Recordkeeping Violations
September 30, 2024
SEC Charges Advisory Firm Macquarie Investment Management Business Trust with Fraud
September 30, 2024
November 7, 2024: SEC to Hold Virtual National Compliance Outreach Seminar for Investment Advisers
September 30, 2024
Advisory Firm Atom Investors, Charged with Recordkeeping Violations, Avoids Civil Penalty Because of Self-Reporting, Substantial Cooperation, and Prompt Remediation
September 30, 2024
Eleven Firms to Pay More Than $88 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures
September 30, 2024
SEC Charges Crypto Companies TrustToken and TrueCoin With Defrauding Investors Regarding Stablecoin Investment Program
September 30, 2024
SEC Charges Merrill Lynch and Harvest Volatility Management for Ignoring Client Instructions
September 30, 2024
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