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Securities Law

Enforcement Actions Corporate Law SEC Regulations Securities Exchange Act Cryptocurrency Regulation Insider Trading Digital Assets Enforcement Compliance and Enforcement Securities and Exchange Commission

4 ARTICLES

2w ago

SFC Freezes HK$125.25 Million in Futu Client Account Over Suspected IPO Manipulation

The order preserves the assets while the regulator investigates an alleged scheme to create artificial IPO demand and requires Futu to obtain written SFC consent before handling the funds.

3 ARTICLES

4w ago

SEC FY2025 Report Signals Sharp Enforcement Pivot, Disavowing Crypto and Record-Keeping Sweeps

9 ARTICLES

5mo ago

SEC Eases Rollout of FPI Insider Reports With Targeted Exemptions and Temporary Filing Relief

19 ARTICLES

5mo ago

SEC Files Deal to End Justin Sun Case With $10 Million Rainberry Penalty

4 ARTICLES

5mo ago

SEC Finalizes Rules Putting FPI Directors and Officers Under Section 16

3 ARTICLES

5mo ago

Ripple CEO Sees 90% Odds for CLARITY Act by April as White House Sets March 1 Push

4 ARTICLES

6mo ago

Sebi Proposes Overhaul of ‘Fit and Proper’ Rules for Market Intermediaries

11 ARTICLES

6mo ago

SEC and CFTC Set Jan. 27 Event to Coordinate Crypto Oversight

7 ARTICLES

7mo ago

House Democrats Press SEC to Revive Crypto Enforcement, Probe Pullback Under Atkins

8 ARTICLES

7mo ago

Government Tables Securities Markets Code Bill, To Face Finance Panel Review

4 ARTICLES

8mo ago

SEC Pushes Short‑Sale and Securities‑Lending Reporting to 2028–2029 After Fifth Circuit Remand

17 ARTICLES

8mo ago

SEC Curtails 14a-8 No-Action Reviews for 2025–26 Proxy Season, Except State-Law Cases

8 ARTICLES

9mo ago

Senate Sets Nov. 19 Hearing for Trump’s CFTC Pick Mike Selig as Crypto Bill Advances

5 ARTICLES

9mo ago

Coinbase Rebuts Sen. Murphy’s Pay-to-Play Claims, Citing Court Rebuke and SEC Case Withdrawal

3 ARTICLES

10mo ago

Fino Payments Bank Settles Sebi Disclosure Case With Rs 5.88 Lakh Payment

Securities Law

SFC Freezes HK$125.25 Million in Futu Client Account Over Suspected IPO Manipulation

Outside Review Urges Major Fixes to FINRA Enforcement Program

Supreme Court Upholds SEC Disgorgement Without Proof of Investor Loss

SEBI Reimposes Rs 28.95 Crore Penalty on Suzlon, Promoters and Former CFOs

SEC Proposes Broad Rewrite of Offering Rules and Public Company Reporting

SEC Cuts Minimum Window for Some Equity Tender Offers to 10 Business Days

SEC FY2025 Report Signals Sharp Enforcement Pivot, Disavowing Crypto and Record-Keeping Sweeps

SEC Eases Rollout of FPI Insider Reports With Targeted Exemptions and Temporary Filing Relief

SEC Files Deal to End Justin Sun Case With $10 Million Rainberry Penalty

SEC Finalizes Rules Putting FPI Directors and Officers Under Section 16

Never miss stories about

Securities Law

Ripple CEO Sees 90% Odds for CLARITY Act by April as White House Sets March 1 Push

Sebi Proposes Overhaul of ‘Fit and Proper’ Rules for Market Intermediaries

SEC and CFTC Set Jan. 27 Event to Coordinate Crypto Oversight

House Democrats Press SEC to Revive Crypto Enforcement, Probe Pullback Under Atkins

Government Tables Securities Markets Code Bill, To Face Finance Panel Review

SEC Pushes Short‑Sale and Securities‑Lending Reporting to 2028–2029 After Fifth Circuit Remand

SEC Curtails 14a-8 No-Action Reviews for 2025–26 Proxy Season, Except State-Law Cases

Senate Sets Nov. 19 Hearing for Trump’s CFTC Pick Mike Selig as Crypto Bill Advances

Coinbase Rebuts Sen. Murphy’s Pay-to-Play Claims, Citing Court Rebuke and SEC Case Withdrawal

Fino Payments Bank Settles Sebi Disclosure Case With Rs 5.88 Lakh Payment

Never miss stories about

Securities Law