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News
SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
6+ day, 5+ hour ago (385+ words) The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme… Official websites use....
Filling the Regulatory Tank: Regulation Crypto Assets Proposing Release
6+ day, 7+ hour ago (550+ words) Commissioner Hester M. Peirce Official websites use.gov Secure.gov websites use HTTPS More in this Section Filling the Regulatory Tank: Regulation Crypto Assets Proposing Release In 2020, I spoke about my encounter on a stormy New Jersey night and an empty…...
Statement on Regulation Crypto Assets: Fit-for-purpose Exemptions for Crypto Market Innovation
6+ day, 7+ hour ago (315+ words) Today, the Commission continues its work to restore American leadership in capital formation by developing tailored, fit-for-purpose rules that are designed to support innovation in crypto asset markets. Today, we are charting a new course with a package of exemptions…...
Statement on Regulation Crypto Assets
6+ day, 7+ hour ago (460+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Regulation Crypto Assets Today, the Commission proposes Regulation Crypto Assets, which would create a specific offering framework for certain investment contracts involving…...
SEC Proposes New Regulation Crypto Assets
6+ day, 8+ hour ago (498+ words) The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows… Official websites use.gov Secure.gov…...
Statement on Commencement of Appointment Process for Public Company Accounting Oversight Board Seat
6+ day, 7+ hour ago (330+ words) Paul S. Atkins, Chairman Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Commencement of Appointment Process for Public Company Accounting Oversight Board Seat On behalf of the Securities and Exchange Commission (the “SEC”), I…...
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
1+ week, 3+ day ago (397+ words) The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly… Official websites use.gov Secure....
Updated Statement Regarding the Division of Corporation Finance’s Role in the Exchange Act Rule 14a-8 Process
1+ week, 3+ day ago (567+ words) Division of Corporation Finance Official websites use.gov Secure.gov websites use HTTPS More in this Section Updated Statement Regarding the Division of Corporation Finance’s Role in the Exchange Act Rule 14a-8 Process On November 17, 2025, the Division announced that for the…...
SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
1+ week, 4+ day ago (214+ words) Washington D.C., Aug. 13, 2026 — The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish communities in…...
SEC.gov | AXA Advisors, LLC
1+ week, 5+ day ago (16+ words) AXA Advisors, LLC Official websites use.gov Secure.gov websites use HTTPS More in this Section...