The Law of the Financial Markets from Top Securities Lawyers
Sunday, July 13, 2025
Understanding Capital Formation in Emerging Markets The U.S. Securities and Exchange Commission (SEC) has released three in-depth research reports through its Division of Economic and Risk Analysis (DERA) that shed light on how capital is raised in the United States, particularly among smaller issuers and private funds. These reports analyze […]
The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference on Emerging Trends in Asset Management on Thursday, June 5, 2025. The conference will bring together a variety of asset… SEC Press Release
The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling them… SEC Press Release
The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and… SEC Press Release
The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. Ms. Reilly is currently serving as a Deputy Inspector General at the SEC. She replaces Deborah Jeffrey, who has… SEC Press Release
The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. SEC Chairman Paul S. Atkins issued a statement today regarding the roundtable, including… SEC Press Release
FINRA Regulatory Notice 25-05, issued on March 14, 2025, proposes consolidating Rules 3270 and 3280 into a single rule—tentatively titled Rule 3290—to streamline and reduce unnecessary burdens regarding associated persons’ outside activities. The comment period for this proposal ends on May 13, 2025. Key Points of the Proposal Feedback For […]
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its May 12 roundtable, “Tokenization — Moving Assets Onchain: Where TradFi and DeFi Meet.” “Tokenization is a technological development that could… SEC Press Release
Bold Fraud Allegations in Multi-Million Dollar Ponzi Scheme The Securities and Exchange Commission (SEC) has charged three Texas residents—Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner—for orchestrating a sweeping Ponzi scheme that defrauded more than 200 investors out of at least $91 million. Operating under the guise […]
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new data and analysis on the key market areas of public issuers, exempt offerings, Commercial Mortgage-Backed Securities (CMBS), Asset-Backed Securities… SEC Press Release
