News
SEC charges Boateng, firms over alleged $16M Ponzi
The SEC has charged Ernest Ossei Boateng and two companies with operating a $16 million Ponzi scheme, allegedly diverting funds for personal expenses and earlier investor payments.
Tag
sec
Analysis
SEC proposes scrapping adviser pay-to-play rule
The SEC has proposed rescinding Rule 206(4)-5, which currently bars investment advisers from receiving compensation for two years if they make political contributions above a de minimis threshold.
Analysis
SEC targets SYQH and LZGI over years of missing filings
The SEC initiated administrative proceedings against SYQH and LZGI for failing to file required periodic reports, potentially suspending or revoking their securities registrations.
News
SEC charges two former PPMG executives over alleged investor fraud
The SEC has charged former PPMG executives Mark Hanf and Hoai-Nam Chu Phan with offering fraud, alleging they siphoned over $80 million from 190 investors.
Analysis
SEC transfer-agent overhaul puts onchain records in view
The SEC's proposed overhaul of transfer agent rules, dating to the 1970s, raises questions about onchain records, wallet identifiers, and compliance for digital securities.
Analysis
CFTC and SEC push Form PF compliance date to July 2027
The CFTC and SEC have extended the Form PF compliance deadline for 2024 amendments from October 1, 2026, to July 1, 2027, giving private-fund advisers more time.
News
SEC targets AmerInst and Auto Parts 4Less over delinquent filings
The SEC initiated administrative proceedings against AmerInst Insurance Group and AUTO PARTS 4LESS GROUP for delinquent periodic filings, with one company's last filing over 1,000 days ago.
News
FTX plaintiffs use Eleventh Circuit ruling to fight arbitration push
FTX plaintiffs cite an Eleventh Circuit ruling in a Binance case to argue that RICO and consumer protection claims should remain in court, not arbitration.
