The Securities and Exchange Commission today published new data and analysis in a pair of reports that provide the investing public with updated key information about registered investment companies and money market funds. “It is important that… SEC Press Release
Enforcement
SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex
False Revenue Projections at Heart of $284 Million Bond Fraud The U.S. Securities and Exchange Commission (SEC) has filed charges against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga, accusing them of orchestrating a deceptive municipal bond scheme involving fabricated financial documents. The scheme allegedly misled investors in two […]
SEC Votes to End Defense of Climate Disclosure Rules
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and… SEC Press Release
SEC Crypto Task Force to Host Four More Roundtables
The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. The dates and topics for each roundtable are as follows: April 11, 2025… SEC Press Release
SEC Announces Agenda, Panelists for Roundtable on Artificial Intelligence
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies,… SEC Press Release
SEC Charges Investment Adviser and Firm for Fraud and Breaching Fiduciary Duties
The Securities and Exchange Commission (SEC) has filed charges against David Yow Shang Chiueh, an investment adviser based in East Hanover, New Jersey, along with his firm, Upright Financial Corp. The charges stem from multiple violations, including excessive investment concentration and fraudulent activities that led to significant financial losses for […]
SEC Charges Investment Adviser and Two Officers for Misuse of Fund and Portfolio Company Assets
SEC Takes Action Against Investment Adviser and Executives Over Misappropriation of Assets Washington, D.C., March 7, 2025 – The Securities and Exchange Commission (SEC) has announced settled charges against registered investment adviser Momentum Advisors LLC, along with its former managing partner Allan J. Boomer and former chief operating officer Tiffany […]
SEC Staff Facilitates Capital Formation for Companies Planning Public Offerings
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. In… SEC Press Release
SEC Crypto Task Force to Host Roundtable on Security Status
We break down the recent announcement from the Securities and Exchange Commission (SEC) regarding its Crypto Task Force. Key Takeaways: The SEC’s Crypto Task Force will host a series of roundtables, dubbed the “Spring Sprint Toward Crypto Clarity,” to discuss key areas of interest in crypto asset regulation. The inaugural […]
Commissioner Hester Peirce Announces Crypto Task Force Staff
The Securities and Exchange Commission today announced the members of the Crypto Task Force staff, which is advising the Commission on matters related to crypto. The task force is composed of staff from the Acting Chairman’s office and other divisions… SEC Press Release
