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The Securities and Exchange Commission today charged Payward Ventures, Inc. and Payward Trading Ltd., both commonly known as Kraken, with failing to register the offer and sale of their crypto asset staking-as-a-service program, whereby investors… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Self-directed IRAs allow investment in a broader—and potentially riskier—portfolio of assets than other types of IRAs. Those assets may include real estate, private placement securities, precious metals and other commodities, and crypto assets. Investors should be mindful that investing through self-directed IRAs raises risks, including fraudulent schemes, high fees, and volatile performance. Remember, with a self-directed IRA the investor has sole responsibility for evaluating and understanding the investments in the account. Are you confident enough to invest your retirement savings without the advice of a financial professional? Read this: https://www.finra.org/investors/insights/self-directed-IRAs-risk-of-fraud The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, and… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the Commission’s… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the program, which already includes some of the… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. (Bloomberg) for misleading disclosures relating to its paid subscription service, BVAL, which provides daily price valuations for fixed-income… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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. 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… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. 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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Kraken to Discontinue Unregistered Offer and Sale of Crypto Asset Staking-As-A-Service Program and Pay $30 Million to Settle SEC Charges
Issues with Self-Directed IRAs
The SEC’s Office of Investor Education and Advocacy, the NASAA, and FINRA have updated the Investor Alert to warn investors of potential risks associated with self-directed Individual Retirement Accounts (self-directed IRAs).
SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule
Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research
SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel
Bloomberg to Pay $5 Million for Misleading Disclosures about Its Valuation Methodologies for Fixed Income Securities
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
Silvestre Fontes Named Director of Boston Regional Office
Fee Rate Advisory #2 For Fiscal Year 2023