The SEC has released staff guidance to address questions about Forms MA, MA-I, and MA-NR in order to make the municipal advisor registration process transparent and efficient.
The Commission has reopened the comment period on its cybersecurity proposal for an additional 60 days to give interested persons time to analyze any potential related effects.
The SEC has charged American Patriot Brands Inc., its CEO, and five other entities and individuals with fraud for allegedly collecting more than $30 million from investors and using the funds to enrich themselves.
The SEC proposed amendments to modernize its information collection and analysis methods by requiring a number of filings be submitted electronically via EDGAR.
The SEC has charged Justin Sun and three of his companies, as well as eight celebrities, with violating the federal securities laws by offering and selling Tronix and BitTorrent tokens without registration, and for manipulating the market for TRX through extensive wash trading and paying celebrities to tout TRX and BTT without disclosing compensation.
The SEC is charging three individuals with fraud for soliciting investments and receiving unlawful compensation without being registered as brokers, resulting in at least $13 million in investments from 115 investors.
The SEC charged former broker Surage Kamal Roshan Perera and Janues Capital Incorporated with defrauding an investor out of millions in a Ponzi-like scheme.