The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation has opened registration for the SEC’s 42nd Annual Government-Business Forum on Small Business Capital Formation, which will take place April 24-27. The… Read the Full Press Release Have a securities law question? Call New York Securities […]
Other News
Oppenheimer Looking for Miami Advisors
We’re in growth mode’: Oppenheimer on the hunt for int’l advisors in Miami The firm is looking to grow its share of the international wealth management space after having recently opened a new office in Miami to house its advisor Mark Astarita has been representing advisors who are changing firms […]
SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16 and Provides Supplemental Information
The Securities and Exchange Commission today reopened the comment period and provided supplemental information on proposed amendments to the definition of “exchange” under Exchange Act Rule 3b-16. The Commission initially proposed the amendments in… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]
SEC Charges Crypto Asset Trading Platform Bittrex and its Former CEO for Operating an Unregistered Exchange, Broker, and Clearing Agency
The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency. The SEC also… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Appoints Deborah J. Jeffrey as Inspector General
The Securities and Exchange Commission today announced the appointment of Deborah J. Jeffrey as Inspector General, effective May 7, 2023. Ms. Jeffrey is currently the Inspector General of AmeriCorps. “Deb will bring incredible experience in public… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
SEC Charges Investment Adviser Betterment for Misstatements Concerning Tax Loss Harvesting Service
The Securities and Exchange Commission today charged investment advisory firm Betterment LLC for material misstatements and omissions related to its automated tax loss harvesting service (TLH), failing to provide clients with notice of changes to… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
Eric R. Werner Named Director of Fort Worth Regional Office
The Securities and Exchange Commission today announced that Eric R. Werner has been named Regional Director of the Fort Worth Regional Office, effective immediately. Mr. Werner is currently the Acting Co-Regional Director and has served as the Associate… Read the Full Press Release Have a securities law question? Call New […]
SEC’s Division of Investment Management to Host Inaugural Conference on Emerging Trends in Asset Management
The Securities and Exchange Commission’s Division of Investment Management today announced it will host virtually an inaugural Conference on Emerging Trends in Asset Management on Friday, May 19, 2023. The conference will bring together a variety of… Read the Full Press Release Have a securities law question? Call New York […]
SEC Reopens Comment Period for Proposed Rule Amendments to Modernize Beneficial Ownership Reporting
The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a… Read the Full Press Release Have a securities law question? Call New York Securities […]
SEC Alleges Son and Father-in-Law Touted Faith to Target Church Members in $20 Million Offering Fraud
The Securities and Exchange Commission today charged Brett M. Bartlett, his father-in-law Scott A. Miller, and their companies for fraudulent securities offerings that raised at least $20.5 million, some of which Bartlett and Miller misused for personal… Read the Full Press Release Have a securities law question? Call New York […]
