Every year, autumn brings hayrides, changing leaves, family gatherings, sweater weather, the chance to savor a cup of black tea by a roaring fire—and a raft of Securities and Exchange Commission (SEC) ...
A trio of enforcement actions brought by the Securities and Exchange Commission in September sounds a warning bell for all companies to revisit their existing employee agreements, being particularly ...
The Securities and Exchange Commission's internal watchdog, fresh off issuing a blistering report on how the agency bungled its handling of the Bernard L. Madoff case, offered on Thursday a series of ...
These and other questions illustrate why complying with the U.S. Securities and Exchange Commission’s (SEC/Commission) amended Cybersecurity Disclosure Rule—which was formally adopted one year ago and ...
The U.S. Securities and Exchange Commission (SEC) may use the failure of lender BlockFi as an object lesson for why there should be clear oversight of the crypto sector. And, by the way, BlockFi still ...
In SEC v. Dragonchain, the SEC brought an action against three Dragonchain entities controlled by John Roets, which collectively raised $16.5 million from about 5,000 investors in “unregistered’ ...
The revolving door between the U.S. cryptocurrency industry and Wall Street’s top cop has been particularly active this year — a trend that one former SEC lawyer who now defends crypto clients in the ...
Yesterday morning there were, no doubt, millions of scam e-mail messages sent. But one scam message was written up by the Wall Street Journal, Bloomberg news and the Washington Post. There is a ...
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