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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).