On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...

On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) issued a press release highlighting settled enforcement actions against a private fund adviser and two pre-IPO companies ...

The lawsuit against Ripple, filed by the United States Securities and Exchange Commission in December 2020, is finally wrapping up. Ripple and the United States Securities and Exchange Commission (SEC ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

October 25, 2023 - Since the implementation of the Securities and Exchange Commission's Whistleblower Program under Section 922 of the Dodd-Frank Act in 2011, the SEC has awarded over $1 billion to ...

District Court Judge Analisa Torres denied the SEC’s motion to file an appeal, claiming that the regulator did not show that there were substantial grounds for difference of opinion. District Court ...

Rajeev Dhir is a writer with 10+ years of experience as a journalist with a background in broadcast, print, and digital newsrooms. SEC Form 3: Initial Statement of Beneficial Ownership of Securities ...

The U.S. Securities and Exchange Commission moved to drop its long-running lawsuit against crypto exchange Binance on Thursday, without providing an explanation in a court filing. The SEC and Binance ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Nasdaq has filed a Form 8-K with the U.S. Securities and Exchange Commission (SEC) proposing a change to the Hashdex Nasdaq Crypto Index US ETF (NCIQ) benchmark. The filing, submitted on June 2, shows ...