The Securities and Exchange Commission today announced the agenda and panelists for its September 18, 2025 roundtable on trade-through prohibitions. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:15… SEC Press Release For more information, contact the securities lawyers at Sallah […]
Month: August 2025
Filing Requirements Under Rule 506(c)
For an offering under Rule 506(c) of Regulation D, the main filing requirements are: 1. Form D with the SEC 2. State “Blue Sky” Notice Filings 3. Verification of Accredited Investor Status 4. Amendments to Form D
Insider Trading Settlement in Blue Apron Stock
The SEC has announced the settlement of an insider trading investigation with David J. Minson in the securities of Blue Apron Holdings, Inc. based on material nonpublic information that Minson misappropriated from an immediate family member, a senior executive at Blue Apron(the “Blue Apron Executive”). According to the settlement document, […]
SEC Names Judge Margaret Ryan as Director of the Division of Enforcement
The Securities and Exchange Commission announced that Judge Margaret “Meg” Ryan has been named Director of the Division of Enforcement, effective Sept. 2, 2025. Acting Director of Enforcement Sam Waldon will return to his previous role as Chief Counsel for the Division. From the Press Release: “I am thrilled […]
SEC Charges Water Machine Manufacturer and Portfolio Manager in $275 Million Fraud Scheme
$275 Million Fraud Case The U.S. Securities and Exchange Commission (SEC) has filed charges against Ryan Wear, founder of Water Station Management LLC and Creative Technologies, Inc., for orchestrating two Ponzi-like schemes that defrauded investors out of more than $275 million. Alongside Wear, portfolio manager Jordan Chirico faces charges for […]
SEC Launches New Statistics and Data Visualizations Webpage
SEC Unveils New Statistics and Data Visualizations Hub for Capital Markets The U.S. Securities and Exchange Commission (SEC) has rolled out a new online platform dedicated to delivering new statistics and data visualization page. The SEC believes that this initiative marks a significant step in enhancing transparency across U.S. capital markets, […]
SEC Issues Guidance to Help Broker-Dealers Implement U.S. Treasury Clearing Rules
he SEC has issued new FAQs to guide broker-dealers through upcoming U.S. Treasury clearing rules, with key 2026 and 2027 deadlines. Here’s what you need to know to stay compliant.
SEC Issues Guidance on Liquid Staking and Crypto Regulation
What Is Liquid Staking in Cryptocurrency? On August 5, 2025, the U.S. Securities and Exchange Commission’s (SEC) Division of Corporation Finance issued a statement clarifying how federal securities laws apply to liquid staking in crypto assets. This move provides investors and blockchain developers with much-needed guidance on a rapidly expanding […]
On the Road: SEC Crypto Task Force to Host a Series of Roundtables Across the U.S.
The Securities and Exchange Commission announced today that its Crypto Task Force will host a series of roundtables across the country to provide opportunities for additional stakeholders to meet with Commissioner Hester Peirce, who leads the Crypto Task… SEC Press Release For more information, contact the securities lawyers at Sallah […]
SEC Creates Task Force to Tap Artificial Intelligence for Enhanced Innovation and Efficiency Across the Agency
The Securities and Exchange Commission today announced the launch of a task force on artificial intelligence (AI) that will spearhead the agency’s efforts to enhance innovation and efficiency in its operations through the responsible use of AI. Valerie… SEC Press Release For more information, contact the securities lawyers at Sallah […]
