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SEC commissioners address registration exemptions
The remarks came as prefaces to the November meeting of the Small Business Capital Formation Advisory Committee.
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SEC and DOJ charge crypto financial services firms and developers for wash trading
Billing themselves as market makers, the alleged fraudsters were in the business of illicit wash trading and promotion.
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CEOs convicted for securities fraud
Schneider and Gentile used investor capital to pay out monthly distributions and create the illusion that their funds were performing satisfactorily.
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Supreme Court: Pure omissions not actionable under Rule 10b-5(b)
Supreme Court says shareholders can’t sue a company under Rule 10b-5(b) for not disclosing risks or trends that might have a material impact on it.
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SEC’s crypto enforcement authority sustained over Coinbase’s vigorous challenges
An in-depth look at the much-anticipated ruling in the SEC v Coinbase case.
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SolarWinds and CISO sued by SEC for cybersecurity failures
Complaint alleges software company and its CISO misled investors about cybersecurity practices and known risks. We assess the implications.
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SEC sues Virtu Financial for misleading customers about data safeguards
Charges filed against broker-dealer and parent company over access to confidential trading information.
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Twice-convicted Eliyahu Weinstein charged with five others in $38m Ponzi scheme
Recidivist pardoned by Trump admits he ‘finagled, Ponzied and lied’ as SEC and DOJ charge him and associates.