Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, 2025, and confirmed by the U.S. Senate on April 9, 2025. “I am honored… SEC Press Release
Author: Mark J. Astarita
SEC Awards $6 Million to Joint Whistleblowers
The Securities and Exchange Commission today announced an award of approximately $6 million to joint whistleblowers who provided new information that led to the opening of an examination and provided a roadmap for an enforcement action that resulted in… SEC Press Release
SEC Staff Issues Guidance on Disclosure Requirements for Crypto-Related Securities Offerings
On April 10, 2025, the SEC’s Division of Corporation Finance released a staff statement outlining its views on the disclosure obligations under federal securities laws for securities offerings and registrations that may involve issuers operating in the crypto asset sector. The Staff highlighted recurring disclosure issues identified during its reviews […]
SEC’s Anti-Fraud Public Service Campaign Warns Investors About Relationship Investment Scams
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its anti-fraud public service campaign, which warns investors about the devastating impact relationship investment scams can have on their financial… SEC Press Release
SEC Small Business Advisory Committee to Explore Regulation A
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that its meeting on Tuesday, May 6, 2025, will focus on the practical market considerations and regulatory challenges of Regulation A. Members of the… SEC Press Release
SEC Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements
The Securities and Exchange Commission today announced a two-year extension of the effective and compliance dates for rule amendments adopted in August 2024 that require many types of registered funds to more frequently report portfolio-related… SEC Press Release
SEC Announces Agenda, Panelists for Roundtable on Crypto Custody
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 25 roundtable, “Know Your Custodian: Key Considerations for Crypto Custody.” “It is important for the SEC to grapple with custody issues… SEC Press Release
SEC Publishes New Data and Analysis About Registered Investment Companies and Money Market Funds
The Securities and Exchange Commission today published new data and analysis in a pair of reports that provide the investing public with updated key information about registered investment companies and money market funds. “It is important that… SEC Press Release
SEC Announces Agenda, Panelists for Roundtable on Crypto Trading
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading.” “Hearing the public’s concerns and… SEC Press Release
By Building Wealth, Investors Power U.S. Economy
How Investing Fuels the U.S. Economy and Builds Your Financial Future The SEC Shines a Light on Investing During National Financial Literacy Month Each April, the U.S. Securities and Exchange Commission (SEC), through its Office of Investor Education and Advocacy (OIEA), uses National Financial Literacy Month to spotlight the critical […]
