![]() Metry Named Chief Administrative Law Judge at SEC Headline: Mark Uyeda Sworn in for Second Term as SEC Commissioner Headline: SEC Charges Florida Real Estate Developer Rishi Kapoor with Perpetuating $93 Million Fraud Scheme and Obtains Emergency Relief Headline: SEC Appoints Stacey Bowers as Small Business Advocate Headline: SEC Charges Global Software Company SAP for FCPA Violations Headline: SEC Charges Future FinTech CEO Shanchun Huang With Fraud and Disclosure Failures Headline: SEC Charges Morgan Stanley and Former Executive Pawan Passi with Fraud in Block Trading Business Morgan to Pay $18 Million for Violating Whistleblower Protection Rule Headline: SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections Headline: SEC Charges Chicago-based Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund Headline: SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures Headline: SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud Headline: SEC to Host Law School Summit Highlighting Need for Investor Access to Legal Counsel Headline: SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students Headline: SEC Adopts Rules to Include Certain Significant Market Participants as “Dealers” or “Government Securities Dealers” Headline: SEC Charges China-Based Tech Company Cloopen Group with Accounting Fraud Headline: SEC Charges TradeStation Crypto for Unregistered Offer and Sale of Crypto Asset Lending Product Headline: SEC Adopts Amendments to Enhance Private Fund Reporting Headline: Sixteen Firms to Pay More Than $81 Million Combined to Settle Charges for Widespread Recordkeeping Failures Headline: SEC Proposes Rule to Update Definition of Qualifying Venture Capital Funds Headline: SEC Charges Van Eck Associates for Failing to Disclose Influencer’s Role in Connection with ETF Launch Headline: SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations Headline: SEC Charges TIAA Subsidiary for Failing to Act in the Best Interest of Retail Customers Headline: SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the State of the IPO Market Headline: SEC Charges Husband of Energy Company Manager with Insider Trading Headline: SEC Updates Ethics Rules Governing Securities Trading by Agency Personnel Headline: SEC Charges Former Alfi CEO Paul Pereira with Fraud for Making False Statements on Social Media ![]() Headline: SEC Announces Departure of William Birdthistle Natasha Vij Greiner Named Director of the Division of Investment Management ![]() Headline: SEC Investor Advisory Committee to Discuss Proposals to Improve Equity Market Structure and Examine the Use of Materiality as a Disclosure Standard Headline: SEC Charges Lordstown Motors with Misleading Investors about Company’s Flagship Electric Vehicle Headline: SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder Acquisition Bid Headline: SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors Headline: SEC Adopts Amendments to Enhance Disclosure of Order Execution Information ![]() Headline: SEC Charges Skechers with Making Undisclosed Payments to Executives’ Family Members Headline: SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition Headline: SEC Charges 17 Individuals in $300 Million Crypto Asset Ponzi Scheme Targeting the Latino Community Headline: SEC Charges Two Investment Advisers with Making False and Misleading Statements About Their Use of Artificial Intelligence
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