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
Enforcement
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 How SEC Investigations Work: Process, Timeline, Subpoenas and Defense Strategies Updated August 2026 to reflect the SEC Division of Enforcement’s revised Enforcement Manual and Wells process. The short answer An SEC investigation is a confidential inquiry by the Securities and Exchange Commission’s Division of Enforcement into possible violations […]
SEC Announces Cyber and Emerging Technologies Unit to Protect Retail Investors
The Securities and Exchange Commission today announced the creation of the Cyber and Emerging Technologies Unit (CETU) to focus on combatting cyber-related misconduct and to protect retail investors from bad actors in the emerging technologies space. The… SEC Press Release
Converting Accounts to Advisory Accounts Might Violate the IAA
Mark Astarita – Moving clients from a fee based account to an advisory account can cause some problems if not handled properly. This case underscores the fact that regulatory authorities continue emphasizing the importance of transparency, proper disclosures, and prioritizing clients’ best interests in financial advisory services. Investment professionals must […]
Exemption From the Requirement to Report Certain Personally Identifiable Information to the Consolidated Audit Trail
The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural persons. … SEC Press Release
