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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.
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SEC sues Virtu Financial for misleading customers about data safeguards
Charges filed against broker-dealer and parent company over access to confidential trading information.
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Twice-convicted Eliyahu Weinstein charged with five others in $38m Ponzi scheme
Recidivist pardoned by Trump admits he ‘finagled, Ponzied and lied’ as SEC and DOJ charge him and associates.
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Coinbase responds to SEC
Coinbase’s answer shows consternation at the regulator’s chopping and changing.
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Corporate culture is everyone’s business – CEO included
Recent events make it clear that senior executives need to be aware of corporate culture and are required to take action if this becomes inappropriate.
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SEC roundup: Fee failures, fraud, improper trading and manipulated financial results
In one of this week’s cases, a company founder paid a data science professor to manufacture fake data, and an investment advisor firm failed to disclose fees of more than $4m.