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
Enforcement
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
SEC Investor Advisory Committee to Examine the Disclosure of AI’s Impact on Company Operations; and Retail Investor Fraud in America at March 6 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington, D.C., on March 6, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two… SEC Press Release
SEC to Host Roundtable on Artificial Intelligence
The Securities and Exchange Commission today announced it will hold a roundtable discussion on Artificial Intelligence in the financial industry. The event takes place on March 27 from 9 a.m. to 4 p.m. at the SEC’s headquarters in Washington, D.C. and is… SEC Press Release
SEC Announces Dismissal of Civil Enforcement Action Against Coinbase
The Securities and Exchange Commission today announced that the Commission has filed a joint stipulation with Coinbase Inc. and Coinbase Global Inc. to dismiss the ongoing civil enforcement action against the two entities. On January 21, 2025, the… SEC Press Release
SEC Charges Justinas Butkus with Orchestrating $4 Million Fraud
The Securities and Exchange Commission today filed charges against Justinas Butkus, of Lithuania, and two companies he owned and controlled, HMC Trading LLC and HMC Management LLC, for fraudulently raising approximately $4.1 million from 64 investors by… SEC Press Release
SEC Charges Alan Burak, Founder of Never Alone Capital, with Fraud
The Securities and Exchange Commission today charged Alan Burak, founder of Never Alone Capital LLC, with orchestrating a fraudulent scheme that raised approximately $4 million, most of which Burak misappropriated for personal expenses. The SEC’s… SEC Press Release
SEC Extends Compliance Dates and Provides Temporary Exemption for Rule Related to Clearing of U.S. Treasury Securities
The Securities and Exchange Commission today extended the compliance dates for Rule 17ad-22(e)(18)(iv)(A) and (B) under the Securities Exchange Act by one year to Dec. 31, 2026, for eligible cash market transactions, and June 30, 2027, for eligible repo… SEC Press Release
How SEC Investigations Work: Process, Defense Strategies & Legal Guidance
Introduction -Why an SEC Investigation Demands Strategic Counsel SEC Investigations, and ultimately SEC enforcement proceedings, can be disruptive and devastating events for individuals and corporations. Understanding how SEC investigations work, and hiring an experienced securities defense attorney is crucial. Understanding what to expect during the SEC investigation will also help […]
