SEC Extends Conditional Exemptions

SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment…

SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus

Permits Funds to Use Additional Funding and Other Tools to Manage their Portfolios for the Benefit…

SEC Awards Over $1.6 Million to Whistleblower

Washington DC (STL.News) The Securities and Exchange Commission today announced an award of more than $1.6…

SEC Provides Conditional Regulatory Relief

SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the…

Jury Finds Investment Adviser, Westport Capital Markets, LLC, and its Owner, Christopher E. McClure Liable for Fraud

Washington, DC (STL.News) Today, jurors in New Haven, Connecticut, federal court returned a verdict in the…

Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading

Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed…

Division of Corporation Finance Chief Accountant and Disclosure Review Program Director Kyle Moffatt to Leave SEC

Washington, DC (STL.News) The Securities and Exchange Commission today announced that Kyle Moffatt, Chief Accountant and…

SEC Halts Fraudulent Offering By Florida Investment Adviser, Kinetic Investment Group and Michael Scott Williams

Washington DC (STL.News) On March 6, 2020, the Securities and Exchange Commission obtained an asset freeze…

Longfin Corp. CEO, Venkata S. Meenavalli Settles Fraud Action

Washington, DC (STL.News) The Securities and Exchange Commission Friday announced that Longfin Corp. CEO Venkata S.…

SEC Charges Six Individuals in International Microcap Fraud Schemes

Washington, DC (STL.News) The Securities and Exchange Commission today charged six individuals and their companies with…

SEC Charges Investment Adviser, Springer Financial Advisors, and owner, Keith Springer With Defrauding Retirees

Washington, DC (STL.News) The Securities and Exchange Commission Thursday charged Sacramento, California-based investment adviser firm Springer…

SEC News: Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs

Washington DC (STL.News) The Securities and Exchange Commission today announced that broker-dealer Jefferies LLC will pay…

Former Congressman, Christopher Collins and Two Others Settle Insider Trading Charges

Washington, DC (STL.News) The Securities and Exchange Commission announced today settlements with former U.S. Rep. Christopher…

SEC Charges Multinational Telecommunications Company, Ericsson With FCPA Violations

Ericsson has agreed to pay more than $1 billion to the SEC and the U.S. Department…

SEC Revokes Registration of International Investment Group, LLC

Washington, DC (STL.News) The Securities and Exchange Commission today revoked the registration of New York-based investment…

SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud

Washington DC (STL.News) The Securities and Exchange Commission Friday announced an award to three individuals who…

SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints

Washington, DC (STL.News) The Securities and Exchange Commission today filed an amended complaint against online auction…

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme

Washington DC (STL.News) The Securities and Exchange Commission has filed an emergency action and obtained an…

SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering

Telegram Group, Inc. and TON Issuer, Inc. alleged unregistered ongoing digital token offering in the US…

SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, Approval

Washington DC (STL.News) – The Securities and Exchange Commission Tuesday proposed to require an amendment to…

SEC Wins Jury Trial Against Broker Charged with Insider Trading, Raymond J. Pirrello, Jr

Washington DC (STL.News) – Today, jurors in Atlanta federal court returned a verdict finding New Jersey…

US Securities and Exchange Commission News: SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

Washington DC (STL.News) – The Securities and Exchange Commission yesterday announced that it updated its list…