SEA 1934 Rule 13(a)
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SEC proposes letting public companies move to semiannual reporting
The proposal is the biggest reformulation of reporting rules in decades.
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SEC scrutinizes technology-driven disclosures
An SEC action against RYVYL, Inc, underscores how overstated claims about blockchain capabilities, coupled with omitted risk disclosures, can translate into antifraud liability even when wrapped in the language of innovation.
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SEC says ADM executive engineered accounting to preserve a growth story
The SEC emphasized ADM’s cooperation in resolving the matter.
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SEC sues Lottery.com and ex-employees for revenue fraud
According to the complaint, a series of artificial transactions drastically inflated the company’s value from 2020 to 2022.
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SEC approves $200m Barclays distribution plan years after shelf control collapse
Three years after Barclays admitted to selling $17.7 billion in unregistered securities, the SEC has approved a long-awaited plan to return funds to harmed investors.
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Hotel asset manager settles with SEC over cyber breach misreporting
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.
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SEC dings Becton Dickinson $175m for misrepresenting product risks
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.
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SEC charges Kiromic BioPharma for failing to disclose FDA holds
Two former executives were fined, but the company itself will not receive a civil penalty due to its self-reporting.