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Tag: Securities and Exchanges Commission
Defendant presented himself as a special forces veteran and Harvard grad to gain investor trust The Securities and Exchange Commission today charged Justin Costello for using a false persona, as...
Senior legal analysts explore the latest SEC initiatives around ESG disclosure for asset managers, as well the strident opposition and likely legal challenges the agency’s controversial proposals will encounter As...
Researchers from the SEC’s Office of the Investor Advocate (OIAD) released an independent research study examining the impact of mutual fund performance benchmarks on investor decision-making, and potential strategic behavior by firms...
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website. The committee...
On Monday, September 19, 2022, the Securities and Exchange Commission issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto...
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