The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that its meeting on Tuesday, May 6, 2025, will focus on the practical market considerations and regulatory challenges of Regulation A. Members of the…
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SEC Announces Agenda, Panelists for Roundtable on Crypto Custody
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 25 roundtable, “Know Your Custodian: Key Considerations for Crypto Custody.” “It is important for the SEC to grapple with custody issues…
SEC Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements
The Securities and Exchange Commission today announced a two-year extension of the effective and compliance dates for rule amendments adopted in August 2024 that require many types of registered funds to more frequently report portfolio-related…
SEC’s Anti-Fraud Public Service Campaign Warns Investors About Relationship Investment Scams
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its anti-fraud public service campaign, which warns investors about the devastating impact relationship investment scams can have on their financial…
SEC Publishes New Data and Analysis About Registered Investment Companies and Money Market Funds
The Securities and Exchange Commission today published new data and analysis in a pair of reports that provide the investing public with updated key information about registered investment companies and money market funds. “It is important that…
SEC Announces Agenda, Panelists for Roundtable on Crypto Trading
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading.” “Hearing the public’s concerns and…
By Building Wealth, Investors Power U.S. Economy
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced, as part of April’s National Financial Literacy Month, it will highlight the key role investing plays in both powering the U.S. economy and…
SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex
The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of the…
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SEC Votes to End Defense of Climate Disclosure Rules
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and…
SEC Crypto Task Force to Host Four More Roundtables
The Securities and Exchange Commission’s Crypto Task Force announced today it will hold four more roundtables in its ongoing series discussing crypto asset regulation. The dates and topics for each roundtable are as follows: April 11, 2025…