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The SEC plans to approve Precidian Investments' non-transparent exchange-traded fund ("ETF") application.

The SEC noted that further information on the forum agenda and participants will be published in the coming weeks.

According to a Wall Street Journal report, the SEC may reevaluate a decision by the Division of Markets and Trading to approve a proposed rule change that permits the listing and trading of...

The SEC updated its Frequently Asked Questions Regarding the Municipal Advisor Registration Rules.

Desarrolladora Homex S.A.B. de C.V. settled SEC charges that the Mexico-based homebuilding company defrauded investors by falsely inflating the number of homes sold and overstating revenue...

The Chief Executive Officer also agreed to a temporary suspension.

The SEC Division of Corporation Finance granted relief to Citigroup Global Markets Inc. ("CGMI") from any disqualification under Rule 506 of Regulation D regarding a January 26, 2017 Order that found CGMI to have overbilled clients.

On Wednesday, October 26, 2016, beginning at 10:00 a.m., the SEC will hold an open meeting at which the Commission will consider the adoption of final rule amendments relating to Securities Act Rule 147 and Rule 505.

Nathan Brown authored an article about securities law as it relates to private equity and hedge funds.

Given the current market volatility and depressed stock prices, Goodwin's Public Company Advisory Practice has prepared the following presentation on securities law issues in volatile markets.

If the current 113th Congress is any measure, we can expect the coming 114th Congress to introduce and promote bills seeking, among other matters, to facilitate capital formation, to correct oversights in the original JOBS Act, to make crowdfunded equity offerings a reality and to ease reporting complexity for smaller issuers.

The US Supreme Court unanimously held in Kokesh v. Securities and Exchange Commission that a five-year limitations period applies to disgorgement claims brought by the SEC in enforcement proceedings.

The Senate confirmed President Trump's nomination of Walter J. "Jay" Clayton III as Chair of the SEC.

On December 10, the Senate passed H.R. 3784, the SEC Small Business Advocate Act, without amendment and by unanimous consent.

SIFMA called for the creation of a uniform set of rules governing the strike prices of options listed on national securities exchanges.

SIFMA requested comments on draft municipal security issue price model documents in order to "aid industry market participants in compliance with the new Treasury Department issue price rules for municipal securities."

While an investigation by the SEC or the DOJ often can lead to private securities litigation, sometimes it happens the other way around.

Justice Eileen Bransten of the Supreme Court of the State of New York dismissed all claims in a suit brought by investment vehicle Sealink Funding Ltd.