SEC Actions | Hong Kong, USA | 18 Sep 2023
The Commission filed seventeen new cases last week. Those included 9 stemming from a sweep regarding the application of the new Marketing Rule. That…
SEC Actions | USA | 15 Sep 2023
Crypto assets such as Bitcoin are purchased and sold each day. The assets are frequently in the form of a coin and may be attached to a blockchain…
SEC Actions | USA | 13 Sep 2023
Marketing is frequently a key element for a business. It gives the company an opportunity to showcase its products to those who might be interested…
SEC Actions | Australia, European Union, Hong Kong, etc. | 11 Sep 2023
We begin this week with a day of remembrance. September 11 will always be a special day and one to remember all those who died, were injured, and…
SEC Actions | USA | 29 Aug 2023
Free riding is often, but not always, a profitable but prohibited endeavor for traders. The practice is based on defrauding brokers by opening an…
SEC Actions | Hong Kong, USA | 28 Aug 2023
Summer is heading for its traditional close at Labor Day as many have either returned to school or are finalizing their plans. The Commission…
SEC Actions | USA | 25 Aug 2023
This is the concluding segment of a four-part series on trends in SEC Enforcement during the first quarter of 2023. The first part of the series was…
SEC Actions | USA | 23 Aug 2023
This is the third segment of a four part series on trends in SEC Enforcement during the first quarter of 2023. The first part of the series was…
SEC Actions | USA | 20 Aug 2023
The pace of filing new enforcement cases slowed to a drizzle last week. Only two new actions were filed. Perhaps it was the approach the end of…
SEC Actions | USA | 18 Aug 2023
This is the second part of a series focused on the cases filed by the SEC during the first quarter of 2023. The first segment was published on…