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Articles related to sec
The SEC charged Meyer Global and CEO Owen Meyer with misusing client funds, inflating statements and mishandling pre-IPO SpaceX investments.
#sec, #fraud, #spacex, #preipo
The SEC issued a five-year conditional exemption letting certain rights-bearing tokenized U.S. stocks trade on public blockchains under strict audit, disclosure and reporting rules.
#sec, #tokenization, #blockchain, #solana
The SEC proposed rescinding Rule 14a-8, removing the federal shareholder-proposal route and moving those disputes to state corporate law if finalized.
#sec, #shareholderproposals, #proxy, #corporategovernance
The SEC sent a draft to the White House to rescind Rule 14a-8, which could move oversight of shareholder proposals from a federal standard to state laws.
#sec, #shareholderproposals, #corporategovernance, #rule14a8
The SEC proposed rescinding its 2010 'pay‑to‑play' rule barring advisers from paid government work after certain political donations; public comment is open.
#sec, #regulation, #investmentadvisers, #paytoplay
The SEC sued LSU in federal court to block the Tigers from using players with recent NFL ties ahead of Friday's roster deadline and Saturday's opener.
#lsu, #sec, #collegefootball, #ncaa
SEC’s Corporation Finance will stop issuing nonbinding no-action and no-objection replies on Rule 14a-8 shareholder proposals, shifting disputes away from staff review.
#sec, #shareholder-proposals, #corporate-governance, #rule-14a-8
SEC filed a civil case Aug. 18 accusing three former Tricolor executives of double-pledging loans and falsifying data in ABS offerings before the lender's 2025 collapse.
#securities, #sec, #autolending, #abs, #fraud
CFTC sued Goliath Ventures and CEO Christopher Delgado, alleging a $397M bitcoin/ether Ponzi that victimized about 1,600 customers.
#cftc, #crypto, #ponzi, #sec, #fraud
On Aug. 5 the SEC announced a new Enforcement Division Financial Reporting and Accounting Unit, led by Timothy Zimmerman, to pursue accounting and reporting fraud.
#sec, #accounting, #enforcement, #securities, #fraud
A July 27 Senate minority memo says the Trump-linked $TRUMP meme coin plunged about 97% since launch, leaving roughly 1 million holders with steep losses.
#crypto, #trump, #senate, #sec
Amgen disclosed a material cybersecurity incident in a July SEC filing, saying unauthorized activity in third‑party cloud environments led to exfiltration of proprietary and patient data.
$AMGN, #amgen, #cybersecurity, #biotech, #sec
SEC proposes rescinding Rule 611 and Rule 610(e) of Regulation NMS, opening a 60-day comment period as it reviews equity market-structure rules.
#sec, #regulationnms, #marketstructure, #rulemaking
In a unanimous June 4 opinion, the Supreme Court held the SEC can seek disgorgement without first proving investors suffered pecuniary losses.
#supremecourt, #sec, #disgorgement, #securities
The SEC proposed on May 29 to rescind its 2024 climate-disclosure rule, shifting the fight from court defense to rulemaking and public comment.
#sec, #climate, #disclosure, #rulemaking
