Tag Archives: Securities and Exchange Commission

Washington, D.C.–(Newsfile Corp. – June 26, 2025) – The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the public with information about the changes in broker-dealer and …

Washington, D.C.–(Newsfile Corp. – June 11, 2025) – The Securities and Exchange Commission, together with the U.S. Commodity Futures Trading Commission, today voted to extend the compliance date until Oct. 1, 2025, for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these …

Washington, D.C.–(Newsfile Corp. – June 11, 2025) – The Securities and Exchange Commission today announced the agenda and panelists for the June 26, 2025, roundtable on executive compensation. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 1 p.m. – 5:35 p.m. …

Washington, D.C.–(Newsfile Corp. – June 4, 2025) – The Securities and Exchange Commission today published a concept release soliciting public comment on the definition of foreign private issuer. Foreign private issuers benefit from certain accommodations and exemptions from the disclosure and filing requirements of the federal securities laws. The concept …

Washington, D.C.–(Newsfile Corp. – May 22, 2025) – The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling them fake interests in real estate …

Washington, D.C.–(Newsfile Corp. – May 20, 2025) – The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and former Chief Investment Officer Alex Dominguez—for false …

Washington, D.C.–(Newsfile Corp. – May 16, 2025) – The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. SEC Chairman Paul S. Atkins issued a statement today regarding the roundtable, including questions for the staff to consider. …

Washington, D.C.–(Newsfile Corp. – April 16, 2025) – The Securities and Exchange Commission today announced a two-year extension of the effective and compliance dates for rule amendments adopted in August 2024 that require many types of registered funds to more frequently report portfolio-related information to the Commission and the public …

Washington, D.C.–(Newsfile Corp. – April 1, 2025) – The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of the largest sports venues …

Washington, D.C.–(Newsfile Corp. – March 17, 2025) – The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25 percent of Upright Growth Fund’s …