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SEC Acting Chair Mark Uyeda on priorities with state security regulators
Uyeda addressed federal preemption issues and the division of jurisdiction between the SEC and states.
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Taking fartcoin seriously: Why meme coins matter
Government regulation is needed to mitigate significant distress and economic harm caused by these “collectable” coins.
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SEC commissioners address registration exemptions
The remarks came as prefaces to the November meeting of the Small Business Capital Formation Advisory Committee.
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SEC and DOJ charge crypto financial services firms and developers for wash trading
Billing themselves as market makers, the alleged fraudsters were in the business of illicit wash trading and promotion.
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CEOs convicted for securities fraud
Schneider and Gentile used investor capital to pay out monthly distributions and create the illusion that their funds were performing satisfactorily.
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Supreme Court: Pure omissions not actionable under Rule 10b-5(b)
Supreme Court says shareholders can’t sue a company under Rule 10b-5(b) for not disclosing risks or trends that might have a material impact on it.
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SEC’s crypto enforcement authority sustained over Coinbase’s vigorous challenges
An in-depth look at the much-anticipated ruling in the SEC v Coinbase case.
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SolarWinds and CISO sued by SEC for cybersecurity failures
Complaint alleges software company and its CISO misled investors about cybersecurity practices and known risks. We assess the implications.