The Law of the Financial Markets from Top Securities Lawyers
Thursday, February 5, 2026
SEC Cracks Down on Ideanomics and Executives for Fraudulent Activities The SEC has settled fraud charges against Ideanomics, Inc., its former Chairman and CEO Zheng (Bruno) Wu, and current CEO Alfred Poor, for misleading the public about the company’s financial performance between 2017 and 2019. Key Highlights: Misleading revenue […]
Streamlining Financial Data: SEC Proposes Joint Data Standards In a significant step towards enhancing financial data transparency, the Securities and Exchange Commission (SEC) has proposed joint data standards under the Financial Data Transparency Act of 2022. This move aims to establish technical standards for data submitted to various financial regulatory […]
The SEC has granted over $37 million to a whistleblower. This individual provided previously unknown information to the SEC, significantly aiding a successful enforcement action. The whistleblower also collaborated with the Enforcement staff, identifying potential witnesses and documents, thus conserving valuable time and resources. Significance of the SEC’s Whistleblower […]
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, July 30, 2024, which will include an exploration of recent changes to the U.S. Small Business… SEC Press Release
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach… SEC Press Release
Background of the Cyber Intrusion Incident The Securities and Exchange Commission (SEC) announced that Intercontinental Exchange, Inc. (ICE) will pay a $10 million penalty. This penalty is due to ICE’s failure to ensure nine of its subsidiaries, including the New York Stock Exchange, promptly informed the SEC of a cyber […]
Two SEC Attorneys Resign The SEC’s Juridical Blunders The SEC encountered severe criticism following actions perceived as excessively authoritarian in its regulatory endeavors. These actions precipitated a legal reproach and subsequent resignations from the agency, highlighting the contentious and challenging landscape of regulatory practices within the nascent realm of cryptocurrency. […]
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee is gearing up for an insightful discussion on Regulation Crowdfunding (Reg CF) and the landscape of angel investing. Scheduled for Monday, May 6, 2024, this meeting promises a deep dive into crucial aspects of early-stage capital raising and […]
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to pay the Commission a rate of $8 per million for covered sales occurring on […]
The Securities and Exchange Commission’s Division of Investment Management is gearing up to host its much-anticipated second annual Conference on Emerging Trends in Asset Management. Scheduled for Thursday, May 16, 2024, this event promises to be a cornerstone for professionals from various sectors within the asset management industry, including regulators […]
