SEC Charges Latvian Citizen With Digital Asset Fraud

The Securities and Exchange Commission today charged a Latvian citizen with defrauding hundreds of retail investors out of at least $7 million through two separate fraudulent digital asset securities offerings. According to the civil complaint, filed in…

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SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 82 soliciting entities, eight (8) impersonators of genuine firms, and…

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SEC Updates Electronic Filing Requirements

The Securities and Exchange Commission today published proposed amendments to update electronic filing requirements. The SEC currently permits and sometimes requires certain forms to be filed or submitted in paper format. The proposed rule and form…

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SEC Staff Issues Accounting Guidance on “Spring-Loaded” Compensation Awards to Executives

Securities and Exchange Commission staff today released guidance for companies about how to properly recognize and disclose compensation cost for “spring-loaded awards” made to executives. Spring-loaded awards are share-based compensation arrangements…

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SEC Wins Jury Trial Against Hedge Fund Adviser Who Ran Manipulative Short Scheme

Jurors in Boston federal court today returned a verdict in the Securities Exchange Commission’s favor against a hedge fund adviser and his investment advisory firm.  Gregory Lemelson and Massachusetts-based Lemelson Capital Management LLC were…

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The pandemic forced the world to re-evaluate how it works—and FINRA’s…

The pandemic forced the world to re-evaluate how it works—and FINRA’s…
Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead http://feeds.finra.org/~r/FINRACompliancePodcast/~3/6o4W7qlblms/zoom-arbitration-one-year-later-lessons-learned-tips-for-practitioners-and-the-road-ahead-hYn_UZ0i #<BR>#seclaw
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SEC Charges Under Armour Inc. With Disclosure Failures

The Securities and Exchange Commission today charged sports apparel manufacturer Under Armour Inc. with misleading investors as to the bases of its revenue growth and failing to disclose known uncertainties concerning its future revenue prospects.…

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How Spending Mistakes Can Be Early Signs of Alzheimer’s #securitieslawyer………

How Spending Mistakes Can Be Early Signs of Alzheimer's #securitieslawyer………
How Spending Mistakes Can Be Early Signs of Alzheimer’s #securitieslawyer…… http://feedproxy.google.com/~r/Seclaw/~3/rbYb-ZBZaBA/how-spending-mistakes-can-be-early_2.html #securitieslawyer #securitieslaw
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