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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...
JD Supra: DocGo Notifies SEC of Recent Cyberattack and Investigates Scope of Data Breach
JD Supra· 11 hours agoOn May 7, 2024, DocGo, Inc. filed a notice of data breach with the Securities and Exchange Commission after discovering that an unauthorized party was able to access and acquire certain information ...
Timing for US ether ETF launches depends on how fast issuers can move, SEC chair says
FOX Business· 13 hours agoThe timing for when exchange-traded funds (ETFs) tied to the cryptocurrency ether can begin trading...
SEC Adopts Rule Amendments to Regulation S-P to Safeguard Customer Information and Enhance...
JD Supra· 21 hours agoOn May 16, 2024, the Securities and Exchange Commission (SEC) adopted amendments to Regulation S-P to “modernize and enhance the rules that govern the treatment of consumers’ nonpublic personal ...
Fifth Circuit Vacates New Private Funds Rules | JD Supra
JD Supra· 2 days agoIn August 2023 the Securities and Exchange Commission adopted final rules that sought to implement sweeping changes to the private funds industry. The Fifth Circuit Court of Appeals issued a ...
Ex-N.J. AG says Sen. Menendez confronted him over a pending criminal case
WHYY· 1 day agoGrewal, now head of enforcement for the Securities and Exchange Commission, recalled Menendez first...
United States Department of Justice and United States Securities and Exchange Commission Jointly...
JD Supra· 21 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. FAT Brands owns several restaurant ...
SEC marketing rule has 'fallen short' of industry expectations
InvestmentNews· 2 days agoWhen the Securities and Exchange Commission implemented its Marketing Rule in November 2022, there...
US SEC's Gensler welcomes competition on multiple clearing houses for Treasuries
Reuters· 2 days agoGary Gensler, chair of the Securities and Exchange Commission, said on Wednesday he welcomed...
Bitcoin lurks near record highs, awaiting Fed cuts – Crypto news
The Forex Market· 16 hours agoBitcoin nears record high as ETFs see 18 straight days of net inflows. Ether ETF demand and US...