Welcome to SEC Roundup, a bimonthly video series by former Securities and Exchange Commission senior trial counsels Nick Morgan and Tom Zaccaro, founders of the nonprofit advocacy group Investor ...

The Securities and Exchange Commission (SEC) dismissed proceedings in 42 enforcement cases after disclosing improper staff access to restricted records at the agency occurred on a wider scale than ...

After a one-year hiatus, Alabama is back where it would argue it belongs: playing for a national championship. Underdog Missouri mounted a brief third-quarter comeback but had no answers for the ...

WASHINGTON—The Securities and Exchange Commission is dismissing 42 enforcement cases after finding that some of its employees improperly accessed legal records that should have been walled off from ...

Digital Brand Media & Marketing Group Inc. On Friday, June 2, 2023, the SEC issued an Order entitled “Order Dismissing Proceedings” as Release No. 4413, advising 42 companies that their pending ...

A municipal advisory firm and one of its principals charged in a first-of-its-kind Rule G-42 case involving a fee-splitting arrangement has reiterated its request that the federal court in California ...

A US entrepreneur has been charged with defrauding investors in a cryptocurrency Initial Coin Offering (ICO) that raised more than $42 million. The Securities and Exchange Commission (SEC) alleged ...

The Securities and Exchange Commission on Thursday charged a firm and its two principals with violating numerous duties under Municipal Securities Rulemaking Board Rule G-42, which lays out the core ...