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SEC Charges Former Executives With Fraud in Connection With $1.9 Billion Collapse of Subprime Auto Lender Tricolor
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-08-18T19:55:10.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Proposes New Regulation Crypto Assets
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-08-18T17:15:48.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-08-14T20:16:34.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities
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…
Source: U.S. Securities and Exchange Commission. Published: 2026-08-13T20:32:19.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Charges Private Fund Adviser Adit Ventures Management, Its CEO and Affiliated General Partners in Alleged Fraud
The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the…
Source: U.S. Securities and Exchange Commission. Published: 2026-08-10T18:00:00.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division
The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well…
Source: U.S. Securities and Exchange Commission. Published: 2026-08-05T18:30:00.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Announces Continuation of Small Business Advisory Committee Meeting
The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will…
Source: U.S. Securities and Exchange Commission. Published: 2026-07-30T13:53:38.000Z. Fetched: 2026-08-23T15:11:14.455Z.
Small Business Forum’s Report to Congress Highlights Recommendations to Improve Capital-Raising Policy
The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum…
Source: U.S. Securities and Exchange Commission. Published: 2026-07-27T19:59:17.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Announces Roundtable on Preparations for 24-Hour Trading
The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency…
Source: U.S. Securities and Exchange Commission. Published: 2026-07-23T15:04:00.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Announces Departure of Principal Deputy Director of Enforcement Sam Waldon
The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy…
Source: U.S. Securities and Exchange Commission. Published: 2026-07-22T13:45:25.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Proposes New E-Delivery Approach to Make Information More Readily Accessible and Useful for Investors
The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements…
Source: U.S. Securities and Exchange Commission. Published: 2026-07-16T12:57:00.000Z. Fetched: 2026-08-23T15:11:14.455Z.
SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The…
Source: U.S. Securities and Exchange Commission. Published: 2026-07-10T16:00:32.000Z. Fetched: 2026-08-23T15:11:14.455Z.