Month: March 2023


Mark Reinhold Named SEC Chief Human Capital Officer

The Securities and Exchange Commission today announced that Mark D. Reinhold has been named the agency’s Chief Human Capital Officer and Director of the Office of Human Resources. He has served as the acting head of the office since October 2022. Mr.… Read the Full Press Release Have a securities […]

Enforcement Investors News

SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity

March 23, 2023 —The Securities and Exchange Commission has charged three individuals for selling interests in pre-IPO companies without registering as broker-dealers and misleading investors about associated fees. Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio were accused of actively soliciting investments for funds set up as series limited liability […]

SEC 2024 Broker-Dealer Examination Priorities

SEC Proposes Electronic Filing Requirement for Most Paper Filings

The SEC has proposed amendments aimed at modernizing its information collection and analysis methods. The proposal requires a significant number of filings to be submitted to the Commission electronically using structured data where appropriate. The proposed amendments would require the electronic filing, submission, or posting of certain forms, filings, and […]


SEC Charges Crypto Entrepreneur Justin Sun, his Companies and Celebrities for Fraud and Other Securities Law Violations

The SEC has charged Justin Sun, a prominent crypto asset entrepreneur, and his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for the unregistered offer and sale of crypto asset securities Tronix (TRX) and BitTorrent (BTT). In addition, Sun and his companies have been charged […]