An investment company and its founder, president, and chief compliance officer flagrantly kept violating mutual fund rules ...

Tiffany Hawkins, a former COO and partner at Momentum, and Allan Boomer, a former CCO and current partner at the firm, allegedly breached their fiduciary duties and misused fund and portfolio assets, ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

On 3 March 2025, the Division of Corporation Finance of the Securities and Exchange Commission (the SEC) announced that it is ...

This is particularly beneficial for foreign companies looking to tap into U.S. capital markets without undergoing the rigorous process of SEC registration. To qualify as a QIB, an institution must ...

MANILA, Philippines — The Department of Trade and Industry and the Securities and Exchange Commission signed a memorandum of agreement to integrate business registration databases, streamlining ...

The Securities and Exchange Commission (SEC) said it has cancelled the registration of Mainland Trust Limited and the suspension of Centurion Registrars. The commission, in separate circulars ...

THE Securities and Exchange Commission (SEC) has revoked the corporate registration of Ecomamoni Environmental Recyclable Materials Manufacturing, Inc. for allegedly soliciting investments without the ...

If you would’ve told me that it would take the Big12 6 games to get to 5 tournament wins… And it would take the SEC 9 games to get to 5 tournament wins… ...

Trump Media and Technology Group DJT-8.44%decrease ... plans to offer digital assets and securities “with a Made in America focus,” it said Monday.

Social media was alive for the end of the first round NCAA Tournament game as well as for the rough start for the SEC. Through eight games, the mighty conference sits just 4-4, and many are having ...

PRIME MEDIA Holdings, Inc. said it had obtained approval from the Securities and Exchange Commission (SEC) for its equity restructuring plan. In a stock exchange disclosure on Thursday, the company ...