SEC News
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SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking CaseThe Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II,… Read more »
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SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment AdvisersThe Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment… Read more »
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SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor WeekThe Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as… Read more »
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SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities LawsThe Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of… Read more »
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SEC’s Division of Examinations Announces New Exam HandbookThe Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on… Read more »
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SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO SecuritiesThe Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H.… Read more »
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SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted VeteransThe Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating… Read more »
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SEC Proposes Amendments to Expand Responsible Retailization of Private MarketsThe Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and… Read more »
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SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure InvestorsThe Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds… Read more »
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SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of InterestThe Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to… Read more »
