The Securities Law Blog from SECLaw.com

SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case

2026-10-06T17:50:29.643-04:00

The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…

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SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

2026-10-06T11:55:37.882-04:00

The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…

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SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week

2026-10-05T09:30:32.824-04:00

The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…

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SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws

2026-10-01T15:55:39.060-04:00

The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business…

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SEC’s Division of Examinations Announces New Exam Handbook

2026-10-01T11:30:45.522-04:00

The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…

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SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities

2026-09-30T15:15:47.073-04:00

The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO…

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SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans

2026-09-30T14:05:13.370-04:00

The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…

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SEC Proposes Amendments to Expand Responsible Retailization of Private Markets

2026-09-30T11:45:48.587-04:00

The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…

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SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million that Used WhatsApp and Other Platforms to Lure Investors

2026-09-29T12:20:48.138-04:00

The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where…

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SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

2026-09-28T15:10:47.119-04:00

The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective…

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SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised

2026-09-23T14:30:52.834-04:00

The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public…

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SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement

2026-09-23T14:00:20.882-04:00

The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or…

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SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI

2026-09-22T14:00:50.790-04:00

The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).According to the SEC’s settled…

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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…

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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…

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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…

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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…

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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…

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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…

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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…

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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…

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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…

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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…

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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…

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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…

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