SEC Charges Three Texans for Offering and Selling Fraudulent Oil and Gas Investments

May 19, 2020

Court Fines Ponzi Scheme Operators $1.8 Million

May 13, 2020

SEC Clarifies When Using “Advisor/Adviser” Violates Regulation Best Interest

May 5, 2020

SEC Provides Temporary Relief to Small Businesses Via Expedited Crowdfunding Offerings

May 5, 2020

SEC Proposes Rule to Modernize Fund Valuation Practices

April 23, 2020

SEC Charges Former Merrill Lynch Registered Representative with Defrauding Investors

April 20, 2020

New Jersey Extends State Fiduciary Rule Finalization Amid Pandemic

April 20, 2020

SEC Permits BDCs to Sell Senior Securities and Invest Alongside Affiliates

April 10, 2020

Docupace Launches New Regulation Best Interest Compliance Service

April 10, 2020

SEC Adopts Offering Reforms for BDCs and Registered Closed-End Funds

April 9, 2020

SEC Shares Details on Initial Examinations for Reg BI and Form CRS

April 8, 2020

SEC Provides Additional Temporary Regulatory Relief for Reg A and Crowdfunding Issuers

March 30, 2020

SEC Further Extends Reporting and Proxy Deadlines, FINRA Postpones Arbitration Meetings

March 27, 2020

SEC Charges Three Former RIA Employees with Attempting to Thwart Ponzi Investigation

March 18, 2020

SEC Fines HSBC Securities $725,000 over Adviser Compensation Misstatements

March 17, 2020

SEC Encourages Companies to Hold Virtual Annual Meetings, Announces Regulatory Relief

March 16, 2020

SEC Obtains Judgments Against Three Who Orchestrated Public Shell Company Fraud

March 10, 2020

SEC Proposes Rule Changes to Expand Private Placements

March 5, 2020

SEC Bars Former Wells Fargo/Morgan Stanley Broker Serving Time for Fake Investment Scheme

March 5, 2020

SEC Requests Comment on Misleading Fund Names

March 3, 2020