JD Supra

SEC Brings Charges for Failure to File Forms 13F (Investment Manager Share Positions) and 13H (Large Trader Registration)

The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...
KOMU 8

Columbia-based firm EquipmentShare files to go public on the stock market

The Columbia-based firm provides equipment and software for the construction industry. It filed paperwork Tuesday for an ...
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 ...
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 ...

BlackRock files for staked Ethereum ETF: is ETHB set to reshape crypto ETF market?

BlackRock files for a staked Ethereum ETF, launching ETHB as interest grows in yield-generating crypto products.
TheStreet.com

SEC, Ripple file surprise joint motion to pause appeal

The long-running legal battle between the U.S. Securities and Exchange Commission (SEC) and Ripple Labs has taken a significant turn, with both sides filing a joint motion to hold the ongoing appeal ...

Glenview Doubles Down on Teva Stock With $72 Million Buy, According to Recent SEC Filing

Glenview Capital Management, LLC increased its position in Teva Pharmaceutical Industries Limited (NYSE:TEVA) by 868,457 shares in the third quarter, adding approximately $71.98 million in value, ...
IJR

Biden’s SEC Files Lawsuit Against Elon Musk

The Securities and Exchange Commission (SEC) announced Tuesday that the agency filed an enforcement action against the co-chair of the Department of Government Efficiency Elon Musk over his purchase ...
Hosted on MSN

Nasdaq files SEC Form 8-K to expand crypto ETF benchmark

Nasdaq has filed a Form 8-K with the U.S. Securities and Exchange Commission (SEC) proposing a change to the Hashdex Nasdaq Crypto Index US ETF (NCIQ) benchmark. The filing, submitted on June 2, shows ...
Reuters

SEC targets separation and severance agreements that impede whistleblowers

October 25, 2023 - Since the implementation of the Securities and Exchange Commission's Whistleblower Program under Section 922 of the Dodd-Frank Act in 2011, the SEC has awarded over $1 billion to ...
The National Law Review

SEC Enforcement Action – Failure to File Forms D

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...