The Securities and Exchange Commission today announced that Erik Hotmire will return to the SEC as Chief External Affairs Officer and Director of the Office of Public Affairs, effective June 16, 2025. “I am delighted that Erik is coming back to… SEC Press Release
Month: June 2025
SEC Charges Former Real Estate Investment CEO With Operating Multimillion Dollar Ponzi-Like Scheme
SEC Charges Kenneth Mattson with $46 Million Real Estate Fraud Targeting Retirees Washington D.C., May 22, 2025 — The Securities and Exchange Commission (SEC) has charged Kenneth Mattson, a San Francisco Bay Area resident and former CEO of LeFever Mattson, with orchestrating a massive $46 million fraud scheme. The SEC […]
Further Extension of Form PF Amendments Compliance Date
The Securities and Exchange Commission, together with the U.S. Commodity Futures Trading Commission, today voted to extend the compliance date until Oct. 1, 2025, for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for… SEC Press Release
SEC Announces Agenda and Panelists for Roundtable on Executive Compensation Disclosure Requirements
The Securities and Exchange Commission today announced the agenda and panelists for the June 26, 2025, roundtable on executive compensation. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 1 p.m. – 5:… SEC Press Release
SEC to Resume Processing of Registration Applications From Swiss-Based Investment Advisers
The Securities and Exchange Commission announced today that it will immediately resume processing new and pending registration applications of investment advisers with their principal office and place of business in Switzerland. This… SEC Press Release
Natasha Vij Greiner Will Conclude Her Tenure as Director of Investment Management
The Securities and Exchange Commission today announced that Natasha Vij Greiner, Director of the Division of Investment Management, will depart the agency effective July 4, 2025, after more than 23 years of public service. “Natasha’s steadfast… SEC Press Release
SEC Solicits Public Comment on the Foreign Private Issuer Definition
The Securities and Exchange Commission today published a concept release soliciting public comment on the definition of foreign private issuer. Foreign private issuers benefit from certain accommodations and exemptions from the disclosure and filing… SEC Press Release
Natalia Díez Riggin Named Senior Advisor and Director of Legislative and Intergovernmental Affairs
The Securities and Exchange Commission today announced that Natalia Díez Riggin has been named Senior Advisor and Director of the agency’s Office of Legislative and Intergovernmental Affairs. Ms. Riggin has been serving as Acting Director since joining… SEC Press Release
SEC Subpoenas – Tips for Responding – 2025
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
What is Securities Arbitration?
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]
