The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 23, 2025
Crypto.com says the SEC has shut its investigation into the exchange, marking the last crypto firm to have the agency’s probes dropped. https://www.theblock.co/post/348558/crypto-com-says-secs-investigation-has-been-shut-with-no-plan-to-pursue-charges
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and… SEC Press Release
The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. The dates and topics for each roundtable are as follows: April 11, 2025… SEC Press Release
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies,… SEC Press Release
The Securities and Exchange Commission (SEC) has filed charges against David Yow Shang Chiueh, an investment adviser based in East Hanover, New Jersey, along with his firm, Upright Financial Corp. The charges stem from multiple violations, including excessive investment concentration and fraudulent activities that led to significant financial losses for […]
SEC Grants Six-Month Extension for Fund Name Compliance Deadlines Washington, D.C., March 14, 2025 – The Securities and Exchange Commission (SEC) has announced a six-month extension for compliance with the Investment Company Act “Names Rule” amendments. Originally adopted in September 2023, these amendments aim to prevent misleading fund names that […]
SEC Takes Action Against Investment Adviser and Executives Over Misappropriation of Assets Washington, D.C., March 7, 2025 – The Securities and Exchange Commission (SEC) has announced settled charges against registered investment adviser Momentum Advisors LLC, along with its former managing partner Allan J. Boomer and former chief operating officer Tiffany […]
SEC Introduces EDGAR Next to Streamline Access and Security Washington, D.C., March 6, 2025 – The Securities and Exchange Commission (SEC) has launched comprehensive guidance and resources to assist filers in navigating upcoming access and account management enhancements to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Starting March […]
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. In… SEC Press Release
We break down the recent announcement from the Securities and Exchange Commission (SEC) regarding its Crypto Task Force. Key Takeaways: The SEC’s Crypto Task Force will host a series of roundtables, dubbed the “Spring Sprint Toward Crypto Clarity,” to discuss key areas of interest in crypto asset regulation. The inaugural […]
