Year: 2021

During the third quarter of 2021 the Commission’s enforcement program brought a large array of actions involving a variety of claims and persons. While typically a large percentage of cases are concentrated in a few areas such as offering frauds …

SEC Files Settled Action Against Restauranter – Adviser Read More »

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The future of Fintech is a continuing saga. As technology continues to rapidly evolve it impacts not just finance but much of the surrounding environment. For regulators like the Commission the rapid evolution of tech presents the continuing challenge of …

Old Statutes, New Tech, the Same Critical Challenges Read More »

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