Category: Securities & SEC

“Picking the Winner: SEC Sanctions Investment Advisor and Associate for “Rigging the Game”

SEC sues law firm for refusing to disclose list of clients affected by cyberattack

Are You Thinking About A Private Company’s New Year Investment? Be aware of potential red flags and the risks they pose

SEC adopts amendments to Insider Trading Plans (and related Disclosures)

The Stockless Triptych of Investment Esoterica

Celebrities endorse NFT, prompting class action

Delusional Improvement: SEC Proposes Governance Rules for Clearing Agencies

SECURE 2.0 Act 2022 is Now Available: (Another?) Landmark Retirement Package

Keeping up with the Kardashians, Madison Cawthorn and Their Damned Dirty (and Bored!) Apes

SEC Convicted of Violing FOIA Deadlines on Documents Concerning Improper Database Access

Who can be a whistleblower?

SEC adopts amendments to Rule 10b5-1 Insider trading plans and related matters