Tag: unregistered securities

Technology related issues were front and center this week. The Commission announced that it has launched a new Strategic Hub for Innovation and Financial Technology. The Hub will serve as an interface between the agency and the public on fintech …

This Week In Securities Litigation (Week ending October 19, 2018) Read More »

Tagged with: , , , , ,

Companies that put “blockchain” or a similar word in their name often attract significant attention from the investing public as well as regulators. The phenomenon is so well established that Chairman Clayton included a warning to firms that add such …

SEC Charges Company, CEO With Illegal Stock Sales to Three Investors Read More »

Tagged with: ,