On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...
On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) issued a press release highlighting settled enforcement actions against a private fund adviser and two pre-IPO companies ...
The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...
Nasdaq has filed a Form 8-K with the U.S. Securities and Exchange Commission (SEC) proposing a change to the Hashdex Nasdaq Crypto Index US ETF (NCIQ) benchmark. The filing, submitted on June 2, shows ...
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