The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a… Full report at: Read More

SEC Obtains Final Judgment from Former Executive for His Role in $100 Million Accounting Fraud Read the full report at Read More

The Securities and Exchange Commission’s Division of Investment Management today announced it will host virtually an inaugural Conference on Emerging Trends in Asset Management on Friday, May 19, 2023. The conference will bring together a variety of… Full report at: Read More

SEC Files Charges in Fine Wine Investment Fraud Scheme Read the full report at Read More

The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to… Full report at: Read More

SEC Charges Terraform and CEO Do Kwon with Defrauding Investors in Crypto Schemes Read the full report at Read More

SEC Obtains Final Judgment Against Former Chief Credit Officer of Wilmington Trust Read the full report at Read More