The Law of the Financial Markets from Top Securities Lawyers
Sunday, October 12, 2025
Streamlining Financial Data: SEC Proposes Joint Data Standards In a significant step towards enhancing financial data transparency, the Securities and Exchange Commission (SEC) has proposed joint data standards under the Financial Data Transparency Act of 2022. This move aims to establish technical standards for data submitted to various financial regulatory […]
SEC Charges Abraham Shafi with Fraudulent Activities at Get Together Inc. The SEC’s Allegations Against Abraham Shafi The SEC has charged Abraham Shafi, the founder and former CEO of Get Together Inc., a social media startup known as “IRL.” Shafi is accused of defrauding investors by making false and misleading […]
Two SEC Attorneys Resign The SEC’s Juridical Blunders The SEC encountered severe criticism following actions perceived as excessively authoritarian in its regulatory endeavors. These actions precipitated a legal reproach and subsequent resignations from the agency, highlighting the contentious and challenging landscape of regulatory practices within the nascent realm of cryptocurrency. […]
The New Civil Liberties Alliance (NCLA) thinks so. It filed suit on uesday against the SEC claiming that the agency, through its “Consolidated Audit Trail,” or “CAT,” program, is collecting mass amounts of personally identifiable data by forcing brokers, exchanges, clearing agencies and alternative trading systems to capture and send […]
As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) published two reports: the 2022 Diversity Assessment Report for… SEC Press Release
SEC Charges Lordstown Motors with Misleading Investors Regarding Flagship Electric Vehicle Washington D.C., Feb. 29, 2024 —The Securities and Exchange Commission (SEC) has taken action against Lordstown Motors Corp., alleging that the company misled investors regarding the sales prospects of its flagship electric pickup truck, the Endurance. Lordstown, which underwent […]
Washington D.C., Jan. 16, 2024 – The Securities and Exchange Commission (SEC) has taken action against J.P. Morgan Securities LLC for their alleged hindrance of clients from reporting potential securities law violations. SEC Charges J.P. Morgan The SEC has officially charged J.P. Morgan with impeding numerous advisory clients and brokerage […]
The Securities and Exchange Commission today adopted rule changes to enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The rule changes… SEC Press Release
On Friday, the Securities and Exchange Commission asked a federal appeals court to reconsider a ruling that it said prevents the agency from clawing back ill-gotten gains in cases in which laws were violated but no victims were harmed. But that is the point of the Supreme Court decision in […]
