The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
Oct. 31, 2024 — The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affiliates of JPMorgan Chase & Co. (JP Morgan) – in five separate enforcement actions for failures including misleading disclosures to investors, breach of fiduciary duty, […]
The Securities and Exchange Commission today announced four new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 14 current Commission-appointed committee members. “I… SEC Press Release
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, Nov. 13, 2024. The meeting will include a discussion of how venture capital fund managers are raising… SEC Press Release
The Securities and Exchange Commission today adopted rule amendments and a new rule to improve the resilience and recovery and wind-down planning of covered clearing agencies. The rule amendments establish new requirements regarding a covered clearing… SEC Press Release
Introduction to the SEC’s Recent Cybersecurity Charges The Securities and Exchange Commission (SEC) recently announced charges against four major corporations: Unisys Corp., Avaya Holdings Corp., Check Point Software Technologies Ltd, and Mimecast Limited. These companies were accused of making materially misleading disclosures regarding cybersecurity risks and incidents. Additionally, Unisys faced […]
2025 SEC Examination Priorities: A Comprehensive Overview for Investors and Registrants The Securities and Exchange Commission (SEC) has unveiled its examination priorities for 2025, setting the agenda for monitoring compliance and mitigating risks in U.S. capital markets. This annual update informs investors, registrants, and financial institutions about the key focus […]
The Securities and Exchange Commission today charged New York-based investment adviser WisdomTree Asset Management Inc. with making misstatements and for compliance failures relating to the execution of an investment strategy that was marketed as… SEC Press Release
The Securities and Exchange Commission today announced that RTX Corporation, a Virginia-based aerospace and defense company, agreed to pay more than $124 million to resolve charges that it violated the Foreign Corrupt Practices Act (FCPA) in connection… SEC Press Release
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Milton on investors and capital markets. The SEC also continues to monitor the prior impact of Hurricane Helene. The SEC divisions and offices that oversee companies,… SEC Press Release
The Securities and Exchange Commission today announced charges against Rimar Capital USA, Inc. (Rimar USA), Rimar Capital, LLC (Rimar LLC), Itai Liptz, and Clifford Boro for making false and misleading statements about Rimar LLC’s purported use of… SEC Press Release
