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Exemption From Exchange Act Rule 13f-2 and Related Form SHO
The Securities and Exchange Commission today provided a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act and from reporting on Form SHO. As a result of the exemption, filings on initial Form SHO reports from… Full…
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The Securities and Exchange Commission today announced the departure of Scott Schneider, a counselor to Chair Gary Gensler and Director of the Office of Public…
The Securities and Exchange Commission today announced that Corey Klemmer will step down from her role as Policy Director, a role she has held since…
The Securities and Exchange Commission today announced that Digital Currency Group Inc. (DCG), and Soichoro “Michael” Moro, the former CEO of DCG’s now-defunct subsidiary, Genesis…
The Securities and Exchange Commission today announced that Paul John McCabe Jr. and his unregistered firm PMAC Consulting LLC have agreed to pay $3 million…
The Securities and Exchange Commission today announced settled charges against GrubMarket Inc., a private, California-based e-commerce food distributor, for providing investors with financial information that…
The Securities and Exchange Commission today announced charges against broker-dealer and investment adviser LPL Financial LLC for multiple failures related to its anti-money laundering (AML)…
The Securities and Exchange Commission today announced settled charges against New York-based investment advisers Two Sigma Investments LP and Two Sigma Advisers LP (collectively, Two…
The Securities and Exchange Commission today announced that YJ Fischer, the Director of the Office of International Affairs (OIA) since August 2021, will leave her…
Springdale, Arkansas – Springdale personal injury attorney Jason M. Hatfield was recently named to the Mid-South Super Lawyers list for the 11th time. He also…
Springdale, Arkansas – Springdale personal injury attorney Jason M. Hatfield was recently named to the Mid-South Super Lawyers list for the 11th time. He also…