On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

On Tuesday, the SEC filed a complaint in the D.C. federal district court alleging that Elon Musk ignored the Section 13(d) beneficial ownership reporting deadline when, in March 2022, he acquired more ...

Bitwise filed with the SEC to launch the first Uniswap (UNI) ETF, giving investors exposure to the token.

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Learn how SEC Form 424B4 plays a crucial role in initial public offerings by detailing important information from previous SEC filings, ensuring transparency and investor confidence.

The U.S. Securities and Exchange Commission (SEC) filed suit against an alleged crypto pyramid scheme, NovaTech, and eight of its promoters on Monday, charging them with fraud and multiple violations ...

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Richard Schueler, who goes by Richard Heart, hailed the SEC’s abandonment of the fraud case against him as a victory for open-source software, cryptocurrency and free speech. The US Securities and ...

The Securities and Exchange Commission on Friday issued an order directing U.S. stock exchanges and the Financial Industry Regulatory Authority to file a new national market system plan, or NMS plan, ...