Securities Law

SEC Updates Website to Improve Compliance, Functionality, and User Experience 

July 2, 2024

The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality. The updates will improve the website’s user experience for market… Full report at: Read More

Continue reading

SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program

July 1, 2024

The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering… Full report at: Read More

Continue reading

SEC Adopts Tailored Registration Form for Offerings of Registered Index-Linked and Registered Market-Value Adjustment Annuities

July 1, 2024

The Securities and Exchange Commission today adopted tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and… Full report at: Read More

Continue reading

SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program

July 1, 2024

The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach… Full report at: Read More

Continue reading

SEC Charges Consensys Software for Unregistered Offers and Sales of Securities through its MetaMask Staking Service

June 28, 2024

The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking… Full report at: Read More

Continue reading

SEC Office of the Investor Advocate Delivers Report to Congress on Objectives for Fiscal Year 2025

June 27, 2024

The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives for fiscal year 2025. As detailed in the Report, the Investor Advocate’s priorities for fiscal year 2025… Full report at: Read More

Continue reading

SEC Charges Meta Materials and Former CEOs with Market Manipulation, Fraud and Other Violations

June 25, 2024

The Securities and Exchange Commission today filed charges against Meta Materials Inc. and its former CEOs, John Brda and George Palikaras. The company has agreed to settle the SEC’s charges in an administrative proceeding, while the SEC’s litigation… Full report at: Read More

Continue reading

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

June 24, 2024

The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 24 soliciting entities, six impersonators of genuine firms, and four… Full report at: Read More

Continue reading

SEC Charges R.R. Donnelley & Sons Co. with Cybersecurity-Related Controls Violations

June 18, 2024

The Securities and Exchange Commission today announced that R.R. Donnelley & Sons Company (RRD), a global provider of business communication and marketing services, agreed to pay over $2.1 million to settle disclosure and internal control failure… Full report at: Read More

Continue reading

SEC’s New Public Service Campaign Emphasizes Investor Protection

June 17, 2024

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its new public service campaign, which highlights investor protection and encourages investors to explore the free tools and resources on Investor.… Full report at: Read More

Continue reading