SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading

The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme

The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes to Modernize Rules for Registered Transfer Agents

The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC and FDA Announce MOU to Bolster Cooperation and Ensure Market Integrity

The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respective missions of ensuring the…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes Amendments to Exchange Act Rule 3a12-8 to Add European Union Debt Obligations

The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as "exempted…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC: 38 Entities Feigned Legitimacy as U.S. Advisers Through False Filings to Lure Retail Investors

The Securities and Exchange Commission today charged 38 entities alleging that they made material misrepresentations in Forms ADV filed with the Commission between 2025 and 2026 to falsely portray themselves as legitimate advisory firms to U.S. investors…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor

The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Proposes New Regulation Crypto Assets

The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam

The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities

The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish…

More information at SECLaw.com Read the Full Press Release

---

Have a securities law question? Call New York Securities Lawyers at 212-509-6544.