Tag Archives: SECs

Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud

Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a brokerage firm and two of its executives.The SEC charged the brokerage firm, Portfolio Advisors Alliance Inc. (PAA), Howard J. Allen, the indirect owner of … Continue reading

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SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week

The Securities and Exchange Commission today announced that its Office of the Advocate for Small Business Capital Formation will host a roundtable on May 6 to hear from small businesses and their investors.  The roundtable will celebrate the kickoff of … Continue reading

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Recent Dorsey eUpdate: Summary of SEC’s FAST Act Amendments and Additional Guidance on Confidential Treatment Requests

The SEC recently finalized amendments to its regulations to modernize and simplify disclosure requirements for public companies, investment advisors and investment companies, consistent with the Commission’s mandate under the Fixing America’s Surface Transportation (FAST) Act. The SEC subsequently released an … Continue reading

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The SEC’s Position on Digital Assets

Posted by Susan I. Gault-Brown, F. Dario de Martino, and Daniel R. Kahan, Morrison & Foerster LLP, on Saturday, April 27, 2019 Editor's Note: Susan I. Gault-Brown and F. Dario de Martino are partners and Daniel R. Kahan is an … Continue reading

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Upcoming Webinar on the SEC’s New Mining Disclosure Rules – 2/26

You are invited to join us on February 26, 2019, at 11 am PT/2 pm ET, for a webinar discussing the SEC’s new mining disclosure rules. On October 31, 2018, the SEC adopted final rules effecting a complete overhaul of … Continue reading

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