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United States Department of Justice and United States Securities and Exchange Commission Jointly...
JD Supra· 20 hours agoOn May 10, 2024, the DOJ announced criminal indictments and the SEC filed a civil lawsuit for alleged securities fraud against FAT Brands and related persons ...
SEC, CFTC and SDNY attorney's office charge FTX's Sam Bankman-Fried with defrauding investors
TechCrunch· 1 day agoThe SEC said in a press release that in addition to being charged with fraud regarding equity investors in FTX, he’s also being investigated regarding … ...
HF Foods Settles Fraud Charges With SEC, to Pay $3.9 Million Fine
The Wall Street Journal· 1 day agoThe Securities and Exchange Commission said it had settled fraud charges against food-distributor HF...
Fifth Circuit Vacates SEC’s Private Fund Adviser Rule
The National Law Review· 13 hours agoHighlights On June 5, the Fifth Circuit Court of Appeals vacated in its entirety the SEC’s private...
Were Roaring Kitty’s GameStop posts illegal? A former SEC lawyer explains the recent scrutiny.
MarketWatch via Yahoo Finance· 2 days agoWhat is market manipulation? Does posting memes count as fraud or deceit? According to the SEC’s...
Timing for US ether ETF launches depends on how fast issuers can move, SEC chair says
FOX Business· 12 hours agoSecurities and Exchange Commission's queries, Chair Gary Gensler said on Wednesday. The SEC last...
JD Supra: A Handbook for SEC Whistleblowers
JD Supra· 1 day agoThe U.S. Securities and Exchange Commission’s (SEC) Whistleblower Program was created in Section 922 of the Dodd-Frank Act of 2010, which amended the Securities Exchange Act ...
SEC Chief Gensler Says Approval Of Ethereum ETFs Depend On 'How Responsive' Issuers Are
International Business Times· 16 hours agoGensler went on to reiterate that he still deems the digital assets space as "rife with fraud and...
Fifth Circuit Rules SEC Exceeded Its Authority in Adopting Private Fund Advisers Rule
The National Law Review· 12 hours ago... exceeded its statutory authority in adopting the so-called “Private Fund Advisers Rule” (or the Rule) and, accordingly, vacated the Rule in full.[1] The Court’s interpretation of the SEC’s rule-making authority over private fund sponsors under Section 206(4) and 211(h) of the Investment Advisers...
Fifth Circuit Vacates the Private Funds Rules And Constrains theSEC’s Rulemaking Authority | JD...
JD Supra· 20 hours agoCourt of Appeals for the Fifth Circuit vacated the “Private Funds Rules,”1 which the Securities and Exchange Commission (the “SEC”) adopted on August 23, 2023. The opinion ...
