Category: Securities and Exchange Commission

The Securities and Exchange Commission (SEC) administers Federal securities laws that seek to provide protection for investors; to ensure that securities markets are fair and honest; and, when necessary, to provide the means to enforce securities laws through sanctions.

The Securities and Exchange Commission (SEC) was created under authority of the Securities Exchange Act of 1934 (15 U.S.C. 78a-78jj) and was organized on July 2, 1934. The Commission serves as adviser to United States district courts in connection with reorganization proceedings for debtor corporations in which there is a substantial public interest. The Commission also has certain responsibilities under section 15 of the Bretton Woods Agreements Act of 1945 (22 U.S.C. 286k-1) and section 851(e) of the Internal Revenue Code of 1954 (26 U.S.C. 851(e)).

The Commission is vested with quasi-judicial functions. Persons aggrieved by its decisions in the exercise of those functions have a right of review by the United States courts of appeals.

SEC-LR-2502

SEC-LR-2502 (Litigation Releases – February, 2025) Date:  February 1st through 28th (Litigation Releases 26242 through 26244) Data Source:  https://www.sec.gov/enforcement-litigation/litigation-releases?populate=&year=2025&month=2 Feb. 13, 2025 LR-26247 – SEC Obtains Final Judgment Against Massachusetts Man Found Liable in Multi-Year Insider Trading Scheme Final Judgment Memorandum And Order (PDF 8-pages) Final Judgment (PDF 4-pages) LR-26246 – Court Enters Final Judgment […]

SEC-NEWS-2502

SEC-NEWS-2502 (News Releases – February, 2025) Date:  February 1st through 28st (Press Releases 2025-36 through 2025-38) Data Source:  https://www.sec.gov/newsroom/press-releases?combine=&year=2025&month=2 February 14, 2025 2025-40 – SEC Seeks Candidates for Membership on the Investor Advisory Committee 2025-39 – SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clients February 10, 2025 2025-38 […]

SEC-LR-2501

SEC-LR-2501 (Litigation Releases – January, 2025) Date:  January 1st through 28th (Litigation Releases 26207 through 26233) Data Source:  https://www.sec.gov/enforcement-litigation/litigation-releases?populate=&year=2025&month=1 Jan. 31, 2025 SEC Charges Seven Individuals and Five Entities in the New York Metropolitan Area for Perpetrating a $70 Million Pre-IPO Fraud Scheme Max Infinity Management LLC d/b/a Max Infinity Fund Max Infinity Venture Partners, […]

SEC-NEWS-2501

SEC-NEWS-2501 (News Releases – January, 2025) Date:  January 1st through 31st (Press Releases 2025-1 through 2025-35) Data Source:  https://www.sec.gov/newsroom/press-releases?combine=&year=2025&month=1 January 30, 2025 2025-35 – SEC Small Business Advisory Committee to Continue Discussing Challenges Facing Emerging Fund Managers, and Explore Hurdles for Small Public Companies Not Listed on a National Securities Exchange 2025-34 – Acting Chairman […]