Securities Law

SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme

April 22, 2025

The Securities and Exchange Commission today charged Ramil Palafox for orchestrating a fraudulent scheme that raised approximately $198 million from investors worldwide and for misappropriating more than $57 million of investor funds. According to the… Full report at: Read More

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Paul S. Atkins Sworn In as SEC Chairman

April 21, 2025

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… Full report at: Read More

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SEC Awards $6 Million to Joint Whistleblowers

April 21, 2025

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… Full report at: Read More

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SEC Small Business Advisory Committee to Explore Regulation A

April 17, 2025

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… Full report at: Read More

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SEC Announces Agenda, Panelists for Roundtable on Crypto Custody

April 16, 2025

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… Full report at: Read More

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SEC Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements

April 16, 2025

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… Full report at: Read More

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SEC’s Anti-Fraud Public Service Campaign Warns Investors About Relationship Investment Scams

April 16, 2025

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… Full report at: Read More

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SEC Publishes New Data and Analysis About Registered Investment Companies and Money Market Funds

April 14, 2025

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… Full report at: Read More

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SEC Announces Agenda, Panelists for Roundtable on Crypto Trading

April 7, 2025

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… Full report at: Read More

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By Building Wealth, Investors Power U.S. Economy

April 2, 2025

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced, as part of April’s National Financial Literacy Month, it will highlight the key role investing plays in both powering the U.S. economy and… Full report at: Read More

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