On January 8, 2025, the Securities and Exchange Commission's (SEC) Division of Investment Management (Division) issued ...

The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act ...

For broker dealers who were dreading the full implementation of the Fixed Income Quotation rule, SEC rule 15c2-11, staff once ...

The SEC announced this week the formation of a crypto task force led by Republican Commissioner Hester Peirce. In a post on social media platform X on Thursday, Peirce hailed the decision: “Bye bye, ...

Allarity Therapeutics has reached an agreement in principle with the SEC to resolve a previously disclosed investigation, allowing the company to refocus on its main business objectives.

This settlement in principle with the SEC staff remains subject to mutual agreement on the final language of the settlement documents and approval by the SEC. Accordingly, the Company emphasizes ...