The Securities Law Blog from SECLaw.com

SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment

2026-09-17T09:10:44.895-04:00

The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process

2026-09-16T10:01:05.440-04:00

The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of state law.The Commission outlined…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements

2026-09-14T12:50:46.287-04:00

The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution

2026-09-11T11:00:57.532-04:00

Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened for a tabletop exercise on Sept. 3, 2026, to discuss certain…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000

2026-09-10T22:50:35.437-04:00

The President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the National Association of Securities Dealers(NASD), the New York Stock Exchange (NYSE), the InvestmentCompany Institute (ICI), and the Securities…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme

2026-09-10T16:30:48.909-04:00

The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes Rescission of Political Contribution Rule for Investment Advisers

2026-09-03T16:35:41.238-04:00

The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Investor Advisory Committee to Host Sept. 10 Meeting

2026-09-03T11:50:42.246-04:00

The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading

2026-09-01T17:00:34.556-04:00

The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme

2026-09-01T16:50:22.343-04:00

The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes to Modernize Rules for Registered Transfer Agents

2026-09-01T11:00:42.488-04:00

The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity

2026-08-31T16:10:37.053-04:00

The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respective missions of ensuring the…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations

2026-08-28T13:35:39.812-04:00

The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as "exempted…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors

2026-08-27T18:00:38.391-04:00

The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimate advisory firms to U.S. investors…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor

2026-08-18T16:10:27.933-04:00

The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes New Regulation Crypto Assets

2026-08-18T14:45:37.446-04:00

The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam

2026-08-14T17:00:38.095-04:00

The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities

2026-08-13T16:55:14.606-04:00

The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud

2026-08-10T16:05:42.708-04:00

The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division

2026-08-05T15:20:25.793-04:00

The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Announces Continuation of Small Business Advisory Committee Meeting

2026-07-30T11:05:46.206-04:00

The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy

2026-07-27T17:05:37.092-04:00

The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Announces Roundtable on Preparations for 24-Hour Trading

2026-07-23T11:10:40.198-04:00

The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon

2026-07-22T11:30:42.611-04:00

The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors

2026-07-16T09:00:43.518-04:00

The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements…

More information at SECLaw.com Read the Full Press Release

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.