Complex Financial Instruments Unit News Today

Mass Ave Global agreed to pay $350,000 for alleged failures that led the investment adviser to make false and misleading statements to investors, according to the Securities and Exchange Commission.

Former SEC official Daniel Michael and a group of legal experts comment on the Ripple ruling, emphasizing that the Howey test was not designed to address…

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen...

Prime Group Holdings a New York-based real estate group that owns self-storage, has agreed to pay $20.5 million to settle charges from the SEC.

Titan Global Capital Management, has been ordered to pay a $1 million fine by the US Securities and Exchange Commission (SEC).

/PRNewswire/ -- On Friday, leading law firm Barnes & Thornburg filed a motion on behalf of Infinity Q founder James Velissaris to withdraw from a November plea...

Bloomberg Finance LP has been fined $5 million for misleading disclosures by BVAL, a paid subscription service of the global markets data provider, the US Securities and Exchange Commission (SEC) said Monday.The SECs order finds that Bloomberg violated section 17(a)(2) of the Securities Act. Witho ..

BVAL marketed its bond valuation methods as sophisticated but sometimes based the valuation on a single broker quote, the SEC said.

DURHAM, N.C. (AP) -- Federal securities regulators on Tuesday formally accused a North Carolina-based insurance magnate, an associate and their investment

A Malta-based advisory firm has been charged along with its owners with defrauding clients out of more than $75 million, a US financial watchdog announced on Tu