Filings

Stories tagged filings.

FTC / DOJ press releases04 Sept, 12:00
Payment Processor Nuvei Must Implement Robust Merchant Screening Practices and Pay $4.85 Million to Settle FTC Charges that the Firm Facilitated Merchant Fraud(opens the publisher's site in a new tab)
Nuvei and its subsidiaries alleged to have knowingly processed for merchants engaged in fraudulent activity Global payment processor Nuvei will pay $4.85 million to settle the Federal Trade Commission’s charges that the firm opened and maintained payment processing accounts for merchants that it…
SEC / CFTC press & enforcement03 Sept, 20:30
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers(opens the publisher's site in a new tab)
The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…
SEC / CFTC press & enforcement03 Sept, 14:27
SEC Investor Advisory Committee to Host Sept. 10 Meeting(opens the publisher's site in a new tab)
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…
SEC / CFTC press & enforcement01 Sept, 19:17
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading(opens the publisher's site in a new tab)
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…
SEC / CFTC press & enforcement01 Sept, 17:52
SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme(opens the publisher's site in a new tab)
The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that…
SEC / CFTC press & enforcement01 Sept, 14:57
SEC Proposes to Modernize Rules for Registered Transfer Agents(opens the publisher's site in a new tab)
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse…
SEC / CFTC press & enforcement31 Aug, 18:24
SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity(opens the publisher's site in a new tab)
The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respective missions of ensuring the…
SEC / CFTC press & enforcement28 Aug, 17:33
SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations(opens the publisher's site in a new tab)
The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as "exempted…
SEC / CFTC press & enforcement27 Aug, 21:30
SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors(opens the publisher's site in a new tab)
The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimate advisory firms to U.S. investors…
SEC / CFTC press & enforcement18 Aug, 19:55
SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor(opens the publisher's site in a new tab)
The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme…
SEC / CFTC press & enforcement18 Aug, 17:15
SEC Proposes New Regulation Crypto Assets(opens the publisher's site in a new tab)
The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows…
SEC / CFTC press & enforcement14 Aug, 20:16
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam(opens the publisher's site in a new tab)
The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly…
SEC / CFTC press & enforcement13 Aug, 20:32
SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities(opens the publisher's site in a new tab)
The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish…
SEC / CFTC press & enforcement10 Aug, 18:00
SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud(opens the publisher's site in a new tab)
The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the…
SEC / CFTC press & enforcement05 Aug, 18:30
SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division(opens the publisher's site in a new tab)
The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well…
SEC / CFTC press & enforcement30 Jul, 13:53
SEC Announces Continuation of Small Business Advisory Committee Meeting(opens the publisher's site in a new tab)
The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will…
SEC / CFTC press & enforcement27 Jul, 19:59
Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy(opens the publisher's site in a new tab)
The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum…
SEC / CFTC press & enforcement23 Jul, 15:04
SEC Announces Roundtable on Preparations for 24-Hour Trading(opens the publisher's site in a new tab)
The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency…