SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity
The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum…
SEC Proposes to Modernize Rules for Registered Transfer Agents
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents…
SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations
The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add…
SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors
The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with…
SEC Proposes New Regulation Crypto Assets
The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a…
SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior…
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with…
SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment…
SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and…
SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to…