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 ...

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 ...

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 ...

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 US Securities and Exchange Commission has said it doesn't intend to refile its securities fraud complaint against Hex founder Richard Schueler, who goes by Richard Heart. “Plaintiff Securities and ...

You're currently following this author! Want to unfollow? Unsubscribe via the link in your email. Follow Katherine Tangalakis-Lippert Every time Katherine publishes a story, you’ll get an alert ...

Grayscale submitted an S-1 on Jan. 20 to bring its Grayscale NEAR Trust ETF and list it on NYSE Arca under the GSNR ticker.

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