JD Supra

SEC Enforcement Action – Failure to File Forms D

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 ...
JD Supra

SEC Files Brief in Support of Climate Disclosure Rules

The U.S. Securities and Exchange Commission (SEC) has filed a legal brief in the Eighth Circuit Court of Appeals in support of its controversial climate disclosure rules (Climate Rules). The SEC ...
Noozhawk

SEC Files Charges Against Orcutt Financial Adviser Accused of Fraud

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 ...
Pensions&Investments

SEC files charges against Virtu over statements about protecting customer data

The Securities and Exchange Commission has filed charges in federal court against Virtu Financial over allegations the broker-dealer made materially false and misleading statements with respect to how ...
CoinDesk

SEC Files Notice of Appeal in Case Against Ripple

The U.S. Securities and Exchange Commission announced it would appeal a federal judge's ruling in its case against Ripple on Wednesday. The federal regulator filed a "notice of appeal" to the Second ...
The National Law Review

SEC Enforcement Action – Failure to File Forms D

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