Category Archives: Investor

Fee Rate Advisory #3 for Fiscal Year 2023


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Fee Rate Advisory #3 for Fiscal Year 2023
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2023 is not required. These adjustments do not directly affect the amount of funding…

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Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance


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Cicely LaMothe Named Deputy Director, Disclosure Operations, for the Division of Corporation Finance
The Securities and Exchange Commission today announced that Cicely LaMothe was named Deputy Director, Disclosure Operations, for the Division of Corporation Finance, effective Feb. 12, 2023. Ms. LaMothe served as the Acting Deputy Director for Disclosure…

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SEC Proposes Revision to Privacy Act Rule


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SEC Proposes Revision to Privacy Act Rule
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. The Privacy Act is the principal law governing the handling of personal information in the federal government. The current…

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SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors


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SEC Charges Ozy Media and its CEO Carlos Watson with Widespread Scheme to Defraud Investors
The Securities and Exchange Commission today charged media and entertainment company Ozy Media Inc., its CEO Carlos R. Watson, Jr., its former COO Samir Rao, and its former Chief of Staff Suzee Han with defrauding investors of approximately $50 million…

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SEC Investor Advisory Committee to Discuss the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management at March 2nd Meeting


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SEC Investor Advisory Committee to Discuss the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management at March 2nd Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of…

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The Faith-Based Federalist Papers: Amplifying The Voices Of The Founding Fathers Of Sustainable Investing


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The Faith-Based Federalist Papers: Amplifying The Voices Of The Founding Fathers Of Sustainable Investing
Sustainable investing was founded by faith-based investors. Although 90% of Republicans and 76% of Democrats believe in God, faith-based investor voices have been noticeably lacking in the current controversy over sustainable investing. This article is seeks to amplify the faith-based perspective.
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SEC Charges Cousins for Insider Trading in Kodak Stock Ahead of Company’s Planned Govt. Partnership to Assist in Response to COVID-19


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SEC Charges Cousins for Insider Trading in Kodak Stock Ahead of Company’s Planned Govt. Partnership to Assist in Response to COVID-19
The Securities and Exchange Commission today charged Andrew Stiles for insider trading in the stocks of Eastman Kodak Company and Novavax, Inc. based on nonpublic information related to both companies’ planned government partnerships to assist in the…

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SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures


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SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures
The Securities and Exchange Commission today announced settled charges against African Gold Acquisition Corp., a publicly traded special purpose acquisition company (SPAC), for internal controls, reporting, and recordkeeping violations. These failures…

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SEC Charges The Church of Jesus Christ of Latter-day Saints and Its Investment Management Company for Disclosure Failures and Misstated Filings


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SEC Charges The Church of Jesus Christ of Latter-day Saints and Its Investment Management Company for Disclosure Failures and Misstated Filings
The Securities and Exchange Commission today announced charges against Ensign Peak Advisers Inc., a non-profit entity operated by The Church of Jesus Christ of Latter-day Saints to manage the Church’s investments, for failing to file forms that would…

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Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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