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
Other News
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 Extends Compliance Dates for Amendments to Investment Company Names Rule
SEC Grants Six-Month Extension for Fund Name Compliance Deadlines Washington, D.C., March 14, 2025 – The Securities and Exchange Commission (SEC) has announced a six-month extension for compliance with the Investment Company Act “Names Rule” amendments. Originally adopted in September 2023, these amendments aim to prevent misleading fund names that […]
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 Enhances EDGAR System Security with New Filer Management Dashboard
SEC Introduces EDGAR Next to Streamline Access and Security Washington, D.C., March 6, 2025 – The Securities and Exchange Commission (SEC) has launched comprehensive guidance and resources to assist filers in navigating upcoming access and account management enhancements to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Starting March […]
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
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
