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Silvestre Fontes Named Director of Boston Regional Office Read the Full Press Release SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations Read the Full Press Release SEC Issues $28 Million Award to Joint Whistleblowers Read the Full Press Release Fee Rate Advisory #2 For Fiscal Year 2023 Read the Full Press Release Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product Read the Full Press Release SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets Read the Full Press Release SEC Seeks Candidates for Small Business Capital Formation Advisory Committee Read the Full Press Release Treasury Inflation-Protected Securities Can Protect Your Cash During A Recession – Here’s How SEC Awards Approximately $18 Million to Three Whistleblowers Read the Full Press Release Investor Calls For More Buybacks From Alibaba, GDP & Retail Sales Beat Expectations
Category Archives: Investor
Silvestre Fontes Named Director of Boston Regional Office
The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week. John Dugan and Kevin Kelcourse, who have served as Acting Co-Regional Directors, will remain as…
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SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
The Securities and Exchange Commission today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. The rule is intended to prevent the sale of asset-backed securities (ABS) that…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Issues $28 Million Award to Joint Whistleblowers
The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers’ detailed information prompted the…
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Fee Rate Advisory #2 For Fiscal Year 2023
The Securities and Exchange Commission today announced that, starting on February 27, 2023, the fee rates applicable to most securities transactions will be set at $8.00 per million dollars. Consequently, each self-regulatory organization will…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product
The Securities and Exchange Commission today charged Nexo Capital Inc. with failing to register the offer and sale of its retail crypto asset lending product, the Earn Interest Product (EIP). To settle the SEC’s charges, Nexo agreed to pay a $22.5…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets
The Securities and Exchange Commission today charged Avraham Eisenberg with orchestrating an attack on a crypto asset trading platform, Mango Markets, by manipulating the MNGO token, a so-called governance token that was offered and sold as a security.…
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SEC Seeks Candidates for Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission is seeking candidates for appointment to the Small Business Capital Formation Advisory Committee to provide advice and recommendations on Commission rules, regulations, and policy matters relating to small…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Treasury Inflation-Protected Securities Can Protect Your Cash During A Recession – Here’s How
Treasury Inflation-Protected Securities (TIPS) are an excellent alternative investment that can help you keep up with rising inflation. Here’s how they work.
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SEC Awards Approximately $18 Million to Three Whistleblowers
The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. The first whistleblower provided the SEC with…
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Investor Calls For More Buybacks From Alibaba, GDP & Retail Sales Beat Expectations
Asian equity markets were largely lower as Pakistan was off nearly -3.5% following a largely positive day in the region on Monday.
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