Social Media Ideas for Securities And Exchange Commission

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC Charges 38 Alleged Scammers of False Filings to Lure Retail Investors

The SEC worked with an FBI task force to identify and remove filings of 38 foreign “entities” allegedly posing as legitimate advisory firms.

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC and FDA Sign Memorandum of Understanding Formalizing Cross-Agency Information Sharing

SEC Issues ‘Innovation Exemption’ for On-Chain Trading of Tokenized NMS Stocks

SEC Issues New Interpretive Guidance on Pre-IPO Equity Awards and Registration on Form S-8

FDA and SEC Enter MOU to Establish Information Sharing Framework

SEC Charges 38 Entities Over False Investment Adviser Filings

The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers, putting regulatory ...

SEC Charges 38 Entities Over False Investment Adviser Filings

The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers. The agency’s acti...

SEC Charges 38 Entities Over False Investment Adviser Filings

The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers. The agency’s acti...

United States: Open (Hand)book for SEC Exams: A Useful Tool for the Uninitiated

A call from the Staff at the Division of Examinations (Exams) of the Securities and Exchange Commission (SEC or the Commission) notifying a registrant of an exam has long induced u...

SEC and FDA sign 3-year market integrity pact

The SEC and FDA signed a three-year agreement to share nonpublic information involving public companies and FDA-regulated products.

SEC Seeks Court Order for ISS Client Data Sought in ESG Probe

The Securities and Exchange Commission asked a federal court for an order compelling Institutional Shareholder Services Inc. to turn over detailed client-level voting data requeste...

Nasdaq Files Proposed Rule Change Regarding the $5 Million MVLS Continued Listing Requirement Amid SEC Stay

SEC Cracks Open the Door for Wall Street Stocks to Trade Onchain

The SEC just gave a limited slice of the U.S. stock market permission to do something that sounds more like crypto than Wall Street: trade tokenized stocks through onchain automate...

PrimeDelta Moves to Capture SEC's New Onchain Market for U.S. Stocks With Fully Integrated Tokenized Securities Platform

Company launches Tokenized Securities Venue readiness program under the SEC's five-year Innovation Exemption; maps its existing identity, custody, liquidity, settlement and shareho...

Enhanced FDA-SEC Collaboration: How Life Sciences Companies Think About Disclosure, Insider Trading, and Prediction Mark...

SEC grants temporary exemption for tokenized US stock trading

The SEC’s Innovation Exemption allows limited tokenized US stock trading on onchain venues with trading caps and transparency requirements.The US Securities and Exchange Commission...

SEC tokenized stock plan puts investor rights ahead of trading speed

The SEC has opened a five-year pathway for tokenized U.S. stocks that requires each approved token to carry the economic, voting, dividend, and liquidation rights attached to the u...

The SEC Is Watching American Investors' Trades. That's a Privacy Nightmare.

The SEC should not keep a searchable record of Americans’ lawful trades, much less make them pay for it.

SEC Grants Review of Nasdaq’s Proposed $5 Million Minimum Market Value of Listed Securities Rule

SEC sues 38 entities over fake adviser filings

The SEC sued 38 entities accused of using false adviser filings, nonexistent auditors and fake certificates to appear legitimate to investors.

The SEC’s Innovation Exemption

SEC tokenized-stock exemption opens Coinbase path

SEC's five-year tokenized-stock exemption opens permissioned AMM trading, with analysts seeing potential benefits for Coinbase, Robinhood and Circle.