309 results found

For me and other experts who practice in this space, this was a bit of a "well duh" moment. But given the culminating momentum in the crypto space following the increasingly positive sentiment overall towards...

Join me as I break down the top securities enforcement and regulatory developments shaping the industry this week! Don't forget to like, comment, and subscribe for weekly updates! 👊🏽🇺🇸...

Join me as I break down the top securities enforcement and regulatory developments shaping the industry this week! Don't forget to like, comment, and subscribe for weekly updates! 👊🏽🇺🇸...

The SEC recently charged three former executives of the now-defunct digital pharmacy startup Medly Health Inc. with defrauding investors in a scheme that raised over $170 million.

Join me as I break down the top securities enforcement and regulatory developments shaping the industry this week! Don't forget to like, comment, and subscribe for weekly updates! 👊🏽🇺🇸...

A Massachusetts-based venture capitalist, Robert Scott Murray, was sentenced today in Boston's federal court for orchestrating a securities fraud scheme...

In a recent settlement with FINRA, a major broker-dealer agreed to pay over $3 million in monetary sanctions due to supervisory failures related to short-term trading recommendations.

On September 18, 2024, the U.S. Securities and Exchange Commission (SEC) announced significant amendments to Regulation NMS (National Market System) aimed at improving market quality, reducing transaction costs, and enhancing transparency in equity markets.

The Trump administration's latest actions targeting Paul Weiss and other major law firms have sparked debate over the future of Big Law. While these developments are significant...

The SEC's complaint outlines how Destiny Robotics, under the direction of Kavtaradze, raised approximately $141,000 from investors between February 2022 and March 2023.

The Securities and Exchange Commission (SEC) has announced a significant enforcement action involving BIT Mining Ltd., formerly known as 500.com Limited, for violations of the Foreign Corrupt Practices Act (FCPA).

The Securities and Exchange Commission (SEC) recently announced charges against The Lovesac Company, a publicly traded furniture retailer based in Connecticut...

The Securities and Exchange Commission (SEC) has taken significant enforcement action against Olayinka Oyebola and his accounting firm, Olayinka Oyebola & Co. (Chartered Accountants), alleging their role...

In early October, the Securities and Exchange Commission (SEC) filed accounting fraud charges in the U.S. District Court for the Southern District of New York against the CEO...

The Commodity Futures Trading Commission has issued a Request for Information seeking public comment on whether existing regulations and guidance are impeding fintech firms from partnering with CFTC-regulated institutions or obtaining required registrations. The RFI implements Executive Order 14405 and extends beyond formal rulemaking to include staff guidance, no-action positions, and supervisory practices that shape market access. For fintech firms, digital asset businesses, and trading technology provide

FINRA has issued a set of proposed amendments to Rule 6500 Series, which governs the Securities Lending and Transparency Engine (SLATE).

Acting Chairman Mark T. Uyeda of the U.S. Securities and Exchange Commission (SEC) announced the launch of a dedicated Crypto Task Force aimed at establishing a clear and comprehensive regulatory framework for crypto assets.