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Insights on securities law, exchange listings, going public, SEC reporting, and market regulation. Stay updated with our latest articles on capital markets compliance, regulatory developments, and strategic guidance for public and private companies.
The Securities and Exchange Commission charged a professional football player and a former investment banker with insider trading in advance of corporate…
Read MoreThe Securities and Exchange Commission announced that Moody’s Investors Service Inc., one of the nation’s largest credit ratings agencies, has agreed to…
Read MoreThe Securities and Exchange Commission announced that Legg Mason Inc. will pay over $34 million to resolve an SEC charge that the company…
Read MoreComplying with Rule 6490’s requirements may entail an unanticipated legal and compliance cost for issuers and their securities attorneys, who may be unfamiliar with FINRA’s…
Read MoreThe Securities and Exchange Commission today announced charges against four Transamerica entities for misconduct involving faulty investment models and ordered the entities to…
Read MoreThe Securities and Exchange Commission announced that in fiscal year 2019 the fees that public companies and other issuers pay to register their…
Read MoreThe Securities and Exchange Commission obtained permanent officer-and-director and penny stock bars against the founder of a company who perpetrated a fraudulent…
Read MoreOn July 16, 2018 The Securities and Exchange Commission charged the former CEO of Energy XXI Ltd. John Schiller with hiding more…
Read MoreThe Securities and Exchange Commission announced on Aug. 6, 2018 that it has updated its list of unregistered firms that use misleading information…
Read MoreThe Securities and Exchange Commission announced on July 20, 2018 that two U.S.-based subsidiaries of Deutsche Bank AG will pay nearly $75 million to settle…
Read MoreThe Securities and Exchange Commission today charged five individuals and four companies for unlawfully selling securities of Woodbridge Group of Companies LLC…
Read MoreOn July 23, 2018 The Securities and Exchange Commission charged Mizuho Securities USA LLC for its failure to safeguard information pertaining to…
Read MoreThe Securities and Exchange Commission announced that Citigroup has agreed to pay $10.5 million in penalties to settle two enforcement actions involving…
Read MoreThe JOBS Act’s new rules permitting general solicitation and advertising in Rule 506 private placements became effective on September 23, and there…
Read MoreA private placement memorandum sometimes called a PPM is used by private companies in going public transactions and by existing public companies…
Read MoreThe Securities and Exchange Commission announced that it has voted to adopt amendments to certain disclosure requirements that have become duplicative, overlapping, or…
Read MoreThe Securities and Exchange Commission announced that Ameriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to…
Read MorePrivate placement offerings under Rule 506 of Regulation D of the Securities Act of 1933, as amended (the “Securities Act”) are a cost…
Read MoreThe Securities and Exchange Commission adopted amendments to enhance transparency in the municipal securities market. The adopted amendments to Rule 15c2-12 of…
Read MoreThe Securities and Exchange Commission announced that Merrill Lynch, Pierce, Fenner & Smith has agreed to pay approximately $8.9 million to settle charges…
Read MoreThe Securities and Exchange Commission charged the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors…
Read MoreHave you ever played a penny stock? Or invested in one you believed or hoped was real, perhaps even the Next Big…
Read MoreSecurities and Exchange Commission Chairman Jay Clayton announced that an additional investor roundtable to discuss the Commission’s recently proposed rules regarding the…
Read MoreThe Securities and Exchange Commission announced settled charges with two former top officers of Endurance International Group Holdings Inc. for overstating the…
Read MoreThe Securities and Exchange Commission announced that Barry D. Miller, Associate Director of Disclosure Review and Accounting in the Division of Investment…
Read MoreOn July 13, 2018 The Securities and Exchange Commission charged a stock promoter and four others involved in an alleged series of…
Read MoreThe Securities and Exchange Commission announced on July 6, 2018 settlements with two former senior executives of ITT Educational Services Inc., which the SEC…
Read MoreOn July 11, 2018 The Securities and Exchange Commission filed fraud charges against a second defendant in connection with a scheme to…
Read MoreThe Securities and Exchange Commission announced on July 5, 2018 that Credit Suisse Group AG will pay approximately $30 million to resolve SEC charges…
Read MoreOn July 2, 2018 The Securities and Exchange Commission charged global engineering and construction company KBR Inc. with inflating a key, non-financial statement performance metric…
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