SEC Charges Monolith Resources LLC for Violating Whistleblower Protection Rules

The SEC announced that Monolith Resources LLC violated the SEC's whistleblower protection rules and were required to pay a civil penalty of $225,000.

SEC Charges Nine Investment Advisers With Violating Investment Adviser Marketing Rule

The SEC announced charges against nine investment advisers for advertising hypothetical performance without following Policies and Procedures required by the Marketing Rule and agreed to pay a combined penalty of $850,000.

SEC Charges Stoner Cats 2 LLC With Unregistered Offering of Crypto Asset Securities

The SEC charged Stoner Cats 2 LLC with violating the Securities Act of 1933 by conducting an unregistered public offering of crypto asset securities, raising more than $8 million from investors.

SEC Fines William Giugliano and Charges Marcum for Audit Quality Control Deficiencies

The SEC found that Marcum's quality control leader, Giugliano, did not adequately address numerous quality control and audit standard violations which resulted in a $75,000 civil penalty and censure.

YieldStreet Settles with SEC for Failing to Disclose Important Information to Investors.

The SEC announced a settled action against YieldStreet Inc. and its subsidiary, YieldStreet Management LLC, for failing to disclose critical information to investors in a $14.5 million asset-backed securities offering.

SEC Charges Virtu Financial Inc. and Virtu Americas LLC for Misleading Statements on Information Barriers

The SEC has charged broker-dealer Virtu Americas LLC and its parent company, Virtu Financial Inc. with making materially false and misleading statements about the safeguards they had in place to protect customers' confidential information.

Exploring Ways to Increase Diversity among Investors and Alternative Fundraising Pathways for Small Businesses

The Small Business Capital Formation Advisory Committee will discuss raising capital access for small businesses through considering alternative avenues in addition to traditional equity investments.