SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests…
SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Players
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial…
SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations
Eight celebrities also charged for illegal touting of Sun’s crypto asset securities The Securities and Exchange Commission today…
SEC Proposes to Modernize the Submission of Certain Forms, Filings, and Materials Under the Securities Exchange Act of 1934
The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by,…
SEC Virtual Outreach Event Highlights Students on the Frontlines of Investor Protection
The U.S. Securities and Exchange Commission announced that it will host a virtual event, entitled “Investor Advocacy Clinics:…
SEC Office of Municipal Securities Issues FAQs for Registration of Municipal Advisors
The U.S. Securities and Exchange Commission’s Office of Municipal Securities today announced that it updated its Registration of…
SEC Charges Cannabis Company American Patriot Brands, CEO, and Others with Fraud
The Securities and Exchange Commission today charged American Patriot Brands Inc. (APB), a cannabis cultivation and distribution company,…
SEC Reopens Comment Period for Proposed Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds
The Securities and Exchange Commission today reopened the comment period on proposed rules and amendments related to cybersecurity…
SEC Proposes to Expand and Update Regulation SCI
The Securities and Exchange Commission today proposed amendments to expand and update Regulation Systems Compliance and Integrity (SCI),…
SEC Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal…