Investing News

The Securities and Exchange Commission proposed this week new Regulation SE under the Securities Exchange Act of 1934 (the Exchange Act) to create a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). The new regulatory framework was one of the major reforms required under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection...

Washington D.C. — The Securities and Exchange Commission has adopted amendments to require certain documents filed by investment advisers, institutional investment managers, and certain other entities to be filed or submitted electronically. The amendments also make technical amendments to modernize Form 13F and enhance the information provided. The amendments are intended to promote efficiency, transparency, and operational resiliency by...

Washington D.C. — The Securities and Exchange Commission has announced settled charges against RSE Markets Inc. for operating as an unregistered exchange by maintaining and providing a marketplace and facilities that brought together purchasers and sellers of securities, specifically equity interests in “collectible assets” such as valuable cars and watches. The SEC’s order finds that, between July 1, 2018, and...

Fed Maintains Interest Rates, Suggests Tapering Of $120B In Monthly Asset Purchases Could Happen 'Soon' The Federal Reserve maintained its target fed funds rate range of between zero and 0.25%. The Fed also said it may soon begin tapering its monthly asset purchases “If progress continues broadly as expected, the Committee judges that a moderation in the pace of asset purchases...

Multiple Archegos Executives Charged with Misleading Counterparties Washington D.C. — The Securities and Exchange Commission has charged Sung Kook (Bill) Hwang, the owner of family office Archegos Capital Management, LP (Archegos), with orchestrating a fraudulent scheme that resulted in billions of dollars in losses. The SEC also charged Archegos’s Chief Financial Officer, Patrick Halligan; head trader, William Tomita; and Chief...

The Securities and Exchange Commission today charged 18 individuals and entities for their roles in a fraudulent scheme in which dozens of online retail brokerage accounts were hacked and improperly used to purchase microcap stocks to manipulate the price and trading volume of those stocks. Those charged include Rahim Mohamed of Alberta, Canada, who is alleged to have coordinated...

Washington D.C. — The Securities and Exchange Commission today adopted two rules that require market participants who engage in certain dealer roles, in particular those who take on significant liquidity-providing roles in the markets, to register with the SEC, become members of a self-regulatory organization (SRO), and comply with federal securities laws and regulatory obligations. “I am pleased to support...

How the US is falling behind Israel in helping startups and why Reg A+ is the answer in 2020 Israel has become the center for Tech startups and the future for the European cannabis markets. Israel the Startup Paradise Israel has gained recognition throughout the world as being leaders and helping companies grow by government-initiated subsidies and grants. Israeli startups today are fortunate...

Washington D.C. – The Securities and Exchange Commission today announced fraud charges against five individuals for allegedly operating a call center in Medellin, Colombia, which used high pressure sales tactics and made false and misleading statements to retail investors to convince them to buy the stocks of small companies trading in the U.S. markets. According to the SEC’s complaint, filed...

Oshri tried to stop the release of Vargas's series exposing her alleged participation in a $370M PPE scheme In June 2021, Investor News reporter Aitana Vargas was served with court papers to stop the release of her months-long investigative series exposing entrepreneur Hadari Oshri's participation in an alleged multimillion-dollar PPE scam with conman Marc Lubaszka. In September 2021, Oshri's meritless legal...