President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000

The President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the National Association of Securities Dealers(NASD), the New York Stock Exchange (NYSE), the InvestmentCompany Institute (ICI), and the Securities…

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 Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme

The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200…

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 Rescission of Political Contribution Rule for Investment Advisers

The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…

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 Investor Advisory Committee to Host Sept. 10 Meeting

The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…

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 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.