Securities Law

SEC Names Nathaniel H. Benjamin as Director of the Office of Minority and Women Inclusion

May 3, 2024
Law News Today

The Securities and Exchange Commission today announced that Nathaniel H. Benjamin has been appointed the Director of the Office of Minority and Women Inclusion (OMWI). Mr. Benjamin will join OMWI from AmeriCorps, where he is the Chief Diversity and… Full report at: Read More

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SEC Charges Audit Firm BF Borgers and Its Owner with Massive Fraud Affecting More Than 1,500 SEC Filings

May 3, 2024
Law News Today

The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “Respondents”), with deliberate and systemic failures to comply with Public Company Accounting Oversight Board (PCAOB)… Full report at: Read More

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SEC Small Business Advisory Committee to Discuss Regulation Crowdfunding and the State of Angel Investing

April 25, 2024
Law News Today

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity and… Full report at: Read More

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SEC Staff Publishes New Registered Fund Statistics Report

April 24, 2024
Law News Today

The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. The new report, which will be updated on a quarterly basis… Full report at: Read More

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SEC’s Division of Investment Management to Host Second Annual Conference on Emerging Trends in Asset Management

April 17, 2024
Law News Today

The Securities and Exchange Commission’s Division of Investment Management (IM) today announced it will host the second annual Conference on Emerging Trends in Asset Management on Thursday, May 16, 2024. The conference will bring together a variety of… Full report at: Read More

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SEC Issues Second Fee Rate Advisory for Fiscal Year 2024

April 17, 2024
Law News Today

The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to… Full report at: Read More

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SEC Charges Five Investment Advisers for Marketing Rule Violations

April 12, 2024
Law News Today

The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. All five firms have agreed to settle the SEC’s charges and to pay $200,000 in combined penalties. The five… Full report at: Read More

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Register for the SEC’s 43rd Annual Small Business Forum April 16-18

April 4, 2024
Law News Today

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation will host the SEC’s 43rd Annual Government-Business Forum on Small Business Capital Formation during three virtual sessions April 16-18 from 1-2:30 p.m.… Full report at: Read More

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SEC Charges Advisory Firm Senvest Management with Recordkeeping and Other Failures

April 3, 2024
Law News Today

The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. The SEC also charged Senvest… Full report at: Read More

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SEC Encourages Investors to Plan for Their Financial Future During Financial Capability Month

April 2, 2024
Law News Today

The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today announced that its theme for April’s National Financial Capability Month is, “What does your financial future look like? Having a plan can help answer the… Full report at: Read More

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