Tag: #sec

Articles related to sec

markets

GoodRx Says Q1 and Q2 2026 Financial Statements Should Not Be Relied Upon After Revenue Understatement

GoodRx told investors its first- and second-quarter 2026 statements should not be relied on after it found understated Pharma Direct revenue.

$GDRX, #goodrx, #accounting, #restatement, #sec

markets

SEC Narrows Treasury Repo Clearing Rules, Exempts Certain Foreign and Inter‑affiliate Trades

SEC exempts some non-U.S. and inter‑affiliate Treasury repo transactions from central‑clearing requirements, trimming its 2023 overhaul.

#sec, #treasury, #repo, #clearing

markets

SEC Charges Two Firms in Alleged $130 Million Crypto-Style Fraud

The SEC sued two Colorado-incorporated entities on Oct. 29, alleging a more than $130 million crypto-style fraud that used fake SEC filings and certificates.

#sec, #crypto, #fraud, #investing

markets

SEC’s Fiscal 2027 Exam Priorities Spotlight ‘Super Intelligence,’ Tokenization and Treasury Reforms

The SEC’s fiscal 2027 exam roadmap flags advisers’ duties and broker-dealer controls — and adds scrutiny on “super intelligence,” tokenization and Treasury clearing reforms.

#sec, #regulation, #tokenization, #ai, #markets

sports

Auburn Shocks No. 1 Georgia 27-24 in Athens with Last-Second Field Goal

Auburn ended Georgia’s nine-game rivalry streak with a 27-24 win in Athens, capped by Alex McPherson’s 34-yard field goal as time expired.

#auburn, #georgia, #collegefootball, #sec

markets

SEC Proposes Crypto Custody Framework for Investment Advisers and Funds

The SEC proposed a tailored crypto custody framework for registered advisers and funds, allowing limited self-custody and state trust company custodians.

#crypto, #sec, #custody, #regulation

markets

SEC Accuses Meyer Global of Defrauding Retail Investors in Pre-IPO SpaceX Funds

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

technology

SEC Creates Five-Year Conditional Path for Tokenized U.S. Stocks on Public Blockchains

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

industry

SEC Proposes Rescinding Rule 14a-8, Potentially Shifting Proxy Disputes to State Law

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

industry

SEC Takes First Formal Step to Rescind Rule 14a-8, Potentially Shifting Shareholder-Proposal Power to States

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

industry

SEC Proposes Rescinding 2010 'Pay‑to‑Play' Rule for Investment Advisers

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

sports

SEC Sues LSU in Federal Court to Block Use of Former NFL-Linked Players Ahead of Season Opener

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

industry

SEC Division of Corporation Finance Ends No-Action Responses for Rule 14a-8 Shareholder Proposals

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

markets

SEC Sues Three Former Tricolor Executives Over Alleged ABS Fraud

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

us

CFTC Sues Goliath Ventures and CEO Christopher Delgado in $397 Million Crypto Ponzi Case

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