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SEC Charges Private Fund Auditor and Audit Engagement Partner with Improper Professional Conduct
The Securities and Exchange Commission today announced settled charges against Spicer Jeffries LLP, an audit firm based in Denver, and audit engagement partner Sean P. Tafaro, for their improper ...
SEC Charges Crypto Trading Platform Beaxy and its Executive...perating an Unregistered Exchange, Broker, and Clearing Agency
The Securities and Exchange Commission today charged the crypto asset trading platform beaxy.com (the Beaxy Platform) and its executives for failing to register as a national securities exchange,...
Brazilian Mining Company to Pay $55.9 Million to Settle Cha...Related to Misleading Disclosures Prior to Deadly Dam Collapse
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 milli...
SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraud
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by l...
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 in shares of pre-IPO companies on behalf of StraightPath Ventu...
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 institution, with misappropriating more than $1 million from three curr...
SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violations
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation...
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, among other things, proposing that a number of filings b...
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: Students Fight for Investor Justice,” on Wednesday, March 29 fro...
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 Municipal Advisors Frequently Asked Questions webpage to add a s...
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, its CEO, and five other entities and individuals for thei...
SEC Reopens Comment Period for Proposed Cybersecurity Risk ...es 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 risk management and cybersecurity-related disclosure for registe...
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), the set of rules adopted in 2014 to help address technolog...
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 Securities Rulemaking Board, nation...
SEC Proposes Changes to Reg S-P to Enhance Protection of Customer Information
The Securities and Exchange Commission today proposed amendments to Regulation S-P that would enhance the protection of customer information by, among other things, requiring broker-dealers, inve...
SEC Charges Exiled Chinese Businessman Miles Guo and His Financial Advisor William Je in $850 Million Fraud Scheme
The Securities and Exchange Commission today charged exiled Chinese businessman Miles Guo and his financial advisor William Je for their involvement in unregistered and fraudulent offerings that ...
SEC Charges IT Services Provider DXC Technology Co. for Misleading Non-GAAP Disclosures
The Securities and Exchange Commission today charged DXC Technology Company, an IT services company in Ashburn, Virginia, with making misleading disclosures about its non-GAAP financial performan...
SEC Charges Software Company Blackbaud Inc. for Misleading ...osures About Ransomware Attack That Impacted Charitable Donors
The Securities and Exchange Commission today announced that Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, agreed ...
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 solicit...
SEC Charges Rio Tinto plc with Bribery Controls Failures
The Securities and Exchange Commission today announced charges against global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a...
SEC Files Emergency Action Against Miami Investment Adviser... Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme
The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief a...
SEC Charges Silver Edge Financial and Equity Acquisition Co... Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds
The Securities and Exchange Commission today charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), the owners of both companies, and sales staff of Silver Edge Financial with ...
SEC Charges Global Transportation Company Greenbrier and Former CEO for Failing to Disclose Perks and Payments
The Securities and Exchange Commission today announced settled charges against Oregon-based freight transportation supply company, The Greenbrier Companies Inc., and its founder and former CEO an...
SEC Charges Ontrak Chairman Terren Peizer With Insider Trading
The Securities and Exchange Commission today charged Terren S. Peizer, Executive Chairman of the Santa Monica, California-based healthcare treatment company Ontrak Inc., with insider trading for ...
Fee Rate Advisory #3 for Fiscal Year 2023
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. Thes...