SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures
The Securities and Exchange Commission today adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements to enhance investor protections against insider trading. The amendments include updates to Rule 10b5-…

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Which Comes First, The Recession Or The Layoffs? How Investors Look At Tech Layoffs Right Now
Many people wonder whether recessions or layoffs tend to happen first. The reality is that they both happen around the same time. Here is what you need to know as a working professional and investor.
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SEC Charges Samuel Bankman-Fried with Defrauding Investors in Crypto Asset Trading Platform FTX
The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (FTX), the crypto trading platform of which he was the CEO and co-founder. Investigations as to other…

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SEC Reopens Comment Period for Proposed Rule on Share Repurchase Disclosure Modernization
The Securities and Exchange Commission today reopened the comment period on proposed amendments intended to modernize and improve the disclosure required about an issuer’s repurchases of its equity securities, often referred to as buybacks. The…

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SEC Charges Vika Ventures and its CEO in $6 Million Fraudulent Offering
The Securities and Exchange Commission today charged venture capital firm Vika Ventures LLC and its CEO and co-founder, George Iakovou, with fraudulently offering and selling more than $6 million of securities to at least 46 individual investors in…

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What Every Investor Should Know About The Yield Curve
There’s almost certainly a recession on the way, and we closed-end fund (CEF) investors have a big edge over mainstream investors.
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SEC Awards More Than $10 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower who provided information and assistance that significantly contributed to a successful SEC enforcement action. The whistleblower provided…

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SEC Charges Incarcerated Felon and Five Friends in $2 Million Fraud Scheme
The Securities and Exchange Commission today charged six individuals, including a federal inmate, for conducting a freeriding scheme that defrauded multiple broker-dealers. The SEC’s complaint alleges that from May 2019 to early January 2021, Syed Arham…

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SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
The Securities and Exchange Commission today adopted amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds, and certain other registered funds report about their proxy votes. The amendments will make these funds’ proxy…

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