The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its May 12 roundtable, “Tokenization — Moving Assets Onchain: Where TradFi and DeFi Meet.” “Tokenization is a technological development that could…
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SEC Charges Three Texans with Defrauding Investors in $91 Million Ponzi Scheme
The Securities and Exchange Commission today announced charges against Dallas-Fort Worth residents Kenneth W. Alexander II, Robert D. Welsh, and Caedrynn E. Conner for operating a Ponzi scheme that raised at least $91 million from more than 200 investors…
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SEC Publishes New Market Data, Analysis, and Visualizations
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new data and analysis on the key market areas of public issuers, exempt offerings, Commercial Mortgage-Backed Securities (CMBS), Asset-Backed Securities…
SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme
The Securities and Exchange Commission today charged Ramil Palafox for orchestrating a fraudulent scheme that raised approximately $198 million from investors worldwide and for misappropriating more than $57 million of investor funds. According to the…
Paul S. Atkins Sworn In as SEC Chairman
Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, 2025, and confirmed by the U.S. Senate on April 9,…
SEC Awards $6 Million to Joint Whistleblowers
The Securities and Exchange Commission today announced an award of approximately $6 million to joint whistleblowers who provided new information that led to the opening of an examination and provided a roadmap for an enforcement action that resulted in…
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SEC Small Business Advisory Committee to Explore Regulation A
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…
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…