SEC Announces Agenda, Panelists for Roundtable on Artificial Intelligence

The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry.   “I look forward to hearing from the panelists on how emerging technologies,…

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SEC Charges New Jersey Investment Adviser and His Firm with Fraud and Other Violations

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…

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SEC Extends Compliance Dates for Amendments to Investment Company Names Rule

The Securities and Exchange Commission today announced a six-month extension of the compliance dates for amendments adopted in September 2023 to the Investment Company Act “Names Rule,” which addresses fund names likely to mislead investors about a fund’…

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SEC Charges Investment Adviser and Two Officers for Misuse of Fund and Portfolio Company Assets

The Securities and Exchange Commission today filed settled charges against registered investment adviser Momentum Advisors LLC, its former managing partner Allan J. Boomer, and its former chief operating officer and partner Tiffany L. Hawkins, for…

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Filer Transition to New and Improved EDGAR Begins March 24

The Securities and Exchange Commission is providing extensive guidance and resources to assist filers with upcoming access and account management enhancements to the security of the agency’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR)…

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SEC Crypto Task Force to Host Roundtable on Security Status

The Securities and Exchange Commission today announced that its Crypto Task Force will host a series of roundtables to discuss key areas of interest in the regulation of crypto assets. The “Spring Sprint Toward Crypto Clarity” series will begin on March…

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SEC Staff Facilitates Capital Formation for Companies Planning Public Offerings

The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. In…

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Commissioner Hester Peirce Announces Crypto Task Force Staff

The Securities and Exchange Commission today announced the members of the Crypto Task Force staff, which is advising the Commission on matters related to crypto. The task force is composed of staff from the Acting Chairman’s office and other divisions…

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SEC to Host Roundtable on Artificial Intelligence

The Securities and Exchange Commission today announced it will hold a roundtable discussion on Artificial Intelligence in the financial industry. The event takes place on March 27 from 9 a.m. to 4 p.m. at the SEC's headquarters in Washington, D.C. and is…

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SEC Announces Dismissal of Civil Enforcement Action Against Coinbase

The Securities and Exchange Commission today announced that the Commission has filed a joint stipulation with Coinbase Inc. and Coinbase Global Inc. to dismiss the ongoing civil enforcement action against the two entities. On January 21, 2025, the…

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