News

News

Daniel R. Gregus Named Director of Chicago Office

The Securities and Exchange Commission today announced that Daniel R. Gregus has been named Director of the Chicago Regional Office, where he has served as acting co-director since June. Mr. Gregus is a 28-year veteran of the SEC and has held leadership…For More information on the United States Securities Law […]

News

SEC Charges Promoter with Conducting Cryptocurrency Investment Scams

The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors. The SEC… * This article was originally published here____ For More information on the United States Securities […]

News

SEC Announces Enforcement Results for FY 2021

The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or “stand-alone” actions involved at least one… Read the Full Press Release Have a securities law question? Call […]

News

SEC Proposes Updates to Electronic Recordkeeping Requirements

The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap… Originally posted at The Securities Law Blog Visit the Web’s top securities law site – SEClaw.com. Online since 1995, updated […]