Securities Law

SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21

September 19, 2022

The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee will host four panels to discuss: Human… Full report at: Read More

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Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks

September 19, 2022

Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms in displaying… Full report at: Read More

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Nutra Pharma Corp. et al

September 16, 2022

SEC Obtains Partial Summary Judgment Against Microcap Issuer and Its CEO Read the full report at Read More

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SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations

September 15, 2022

The Securities and Exchange Commission today charged Brazil’s second largest domestic airline, GOL Linhas Aéreas Inteligentes, for violating the Foreign Corrupt Practices Act (FCPA). The São Paulo-based company, also known as Gol Intelligent Airlines,… Full report at: Read More

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Gabriel Edelman, Creative Advancement LLC and Edelman Blockchain Advisors LLC

September 15, 2022

SEC Charges Promoter and Companies with $4 Million Fraud Read the full report at Read More

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Secured Income Group, Inc., et al.

September 15, 2022

SEC Charges Real Estate Investment Firm and Principal with $100 Million Offering Fraud Read the full report at Read More

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Chicago Crypto Capital LLC, et al.

September 14, 2022

SEC Sues Chicago-Area Unregistered Crypto Assets Broker, Its Owner, and Two Salespeople with Fraud and with Conducting an Unregistered Offering Read the full report at Read More

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SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule

September 14, 2022

The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. The action marks the first time the SEC has charged a broker-dealer for… Full report at: Read More

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SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market

September 14, 2022

The Securities and Exchange Commission today proposed rule changes that would enhance risk management practices for central counterparties in the U.S. Treasury market and facilitate additional clearing of U.S. Treasury securities transactions. The… Full report at: Read More

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Oppenheimer & Co. Inc.

September 13, 2022

SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law Read the full report at Read More

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