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Category: Regulation
SEC Proposes Amendments to Expand Responsible Retailiza...
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the publi...
SEC Charges Multiple Entities in Fraud Schemes Totaling...
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas fo...
SEC Charges Registered Investment Adviser Zoe Financial...
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc...
SEC Publishes Updated Market Statistics, Highlighting I...
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visua...
SEC Charges South Florida Resident and His Company for ...
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alle...
SEC Censures OTC Link LLC for Repeated Compliance Failu...
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 c...
SEC Issues “Innovation Exemption” to Facilitate the Tra...
The SEC is taking a significant step forward, within its statutory authority, to bring America’s capital markets into the digital ...
SEC Proposes Rescission of Shareholder Proposal Rule an...
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which excee...
SEC Grants Exemptive Relief from Certain Inline XBRL Fi...
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on ...
Joint Readout of Principals’ Meeting of U.S. and UK Aut...
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Com...
SEC Charges Founder and His Two New Jersey-Based Compan...
The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercon...
SEC Proposes Rescission of Political Contribution Rule ...
The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment adviser...