SEC-PR-2412-191 (Dec. 9, 2024) (SEC-PR-2412) SEC Announces Departure of Trading and Markets Division Director Haoxiang Zhu – Deputy Director David Saltiel to serve as Acting Director Excerpt: Washington D.C., Dec. 9, 2024 — The Securities and Exchange Commission today announced that Haoxiang Zhu, Director of the Division of Trading and Markets, will depart the agency effective […]
SEC-PR-2412-189 (Dec. 3, 2024) (SEC-PR-2412) SEC Charges Kiromic BioPharma and Two Former C-Suite Executives with Misleading Investors about Status of FDA Reviews – SEC declines to impose civil penalties against company due to its self-reporting, remediation, and cooperation. Excerpt: Washington D.C., Dec. 3, 2024 — The Securities and Exchange Commission today filed settled charges against […]
SEC-PR-2412-190 (Dec. 3, 2024) (SEC-PR-2412) SEC Investor Advisory Committee to Examine Mandatory Arbitration Clauses in Adviser Agreements and Alternative Assets and Retail Investors at December 10 Meeting Excerpt: Washington D.C., Dec. 3, 2024 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 10, 2024, at 10 a.m. […]