Aggregated News From Investment Management Regulators

SEC US

SEC Charges Founder of Nikola Corp. With Fraud

The Securities and Exchange Commission today announced charges against Trevor R.

SEC Charges Unlicensed Broker With Defrauding Investors

The Securities and Exchange Commission today charged Joshua L. Rupp of Michigan for engaging in securities fraud and for acting as an unregistered broker-dealer.  The SEC’s complaint, filed in the U.

Fraudsters Posing as Brokers or Investment Advisers – Investor Alert

The FBI Criminal Investigative Division and the United States Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) warn of fraudsters swindling investors while preten

SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures

The Securities and Exchange Commission today announced that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their client or custo

SEC Issues Substituted Compliance Determination for France

The Securities and Exchange Commission today announced the approval of a substituted compliance determination order with respect to security-based swap dealers and major security-based swap participa

YJ Fischer to Join SEC as Director of the Office of International Affairs

The Securities and Exchange Commission today announced the appointment of YJ Fischer as Director of the Office of International Affairs (OIA), effective Aug. 2. Ms.

SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companies

The Securities and Exchange Commission today announced an emergency action including a temporary restraining order and asset freeze to stop an alleged fraudulent offering of securities and misappropr

SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investors

The Securities and Exchange Commission today announced that it has filed an emergency action charging California resident Charlie Abujudeh with running microcap fraud schemes targeting retail investo

SEC Awards Nearly $3 Million to Whistleblower

The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.

SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures

The Securities and Exchange Commission today announced that Fort Worth, Texas, specialty retailer Tandy Leather Factory Inc.

SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies

The Securities and Exchange Commission today announced charges against Aron Govil of Jacksonville, Florida, for defrauding investors in two companies he controlled, Cemtrex Inc. and Telidyne Inc.

SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer

The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset freeze to halt an alleged ongoing offering fraud by L

Regulator Information

Abbreviation: SEC
Jurisdiction: United States

Recent Articles

The AMF and the ACPR sign two cooperation agreements with the SEC regarding the regime applicable to Security Based Swap Dealers (SBSD) in the...

On 23 July 2021, the French financial markets authority (AMF) and the French prudential control and resolution authority (ACPR) signed two cooperation agreements with the Securities Exchange Commiss

SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime

SEC-2021- MoU to allow French Security Based Swap Dealers (SBSD) to benefit from a substituted compliance regime 29 July 2021 Memorandum of understanding between the Securities and Exchange Comm

SEC-2021- MoU regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.S

SEC-2021- MoU regarding the regime applicable to Security Based Swap Dealers (SBSD) in the U.

SEC Charges Founder of Nikola Corp. With Fraud

The Securities and Exchange Commission today announced charges against Trevor R.

AMF is warning retail investors on the importance of consulting the white list of digital asset service providers (DASPs)

The AMF is calling on the extreme vigilance of retail investors when dealing with offers to invest in crypto-assets. The regulatory authority reminds of the existence of a Read more

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