The Law of the Financial Markets from Top Securities Lawyers
Sunday, September 21, 2025
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 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 […]
Introduction SEC Investigations, and ultimately SEC enforcement proceedings, can be disruptive and devastating events for individuals and corporations. Hiring an experienced securities defense attorney is crucial. Understanding what to expect during the SEC investigation will also help you achieve your desired result. We are former SEC Staff Attorneys, and Broker-Dealer […]
Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is […]
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve… SEC Press Release
Washington, D.C., Feb. 14, 2025 — The Securities and Exchange Commission (SEC) is set to host the 44th Annual Government-Business Forum on Small Business Capital Formation at its headquarters in Washington, D.C. This pivotal event will take place on April 10 from 1:00 to 4:30 p.m. ET, bringing together stakeholders […]
The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these amendments, which was originally March 12, 2025, has been extended to June 12, 2025. Form […]
The SEC has announced today that United Parcel Service Inc. (UPS) has settled charges for misleading investors by failing to adhere to generally accepted accounting principles (GAAP) in valuing one of its underperforming business units, UPS Freight. Key Details of the Misrepresentation Inflated Valuation of UPS Freight in 2019 […]
The Securities and Exchange Commission (SEC) unveiled its enforcement results for fiscal year 2024, achieving historic financial remedies of $8.2 billion while filing 583 enforcement actions. While the release has tones of a self-promoting puff piece, here is a summary of what the SEC claims it has accomplished in 2024 […]
In a recent enforcement action, the U.S. Securities and Exchange Commission (SEC) penalized Invesco Advisers, Inc., accusing the investment management firm of making deceptive claims regarding the percentage of its assets under management (AUM) that incorporated environmental, social, and governance (ESG) factors. This Atlanta-based investment adviser agreed to a $17.5 […]
