Wednesday, December 10, 2025
SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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SEC Announces Agenda and Panelists for Roundtable on Rule 611 of Regulation NMS
The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements.The roundtable will be held at the University of Austin…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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Monday, December 8, 2025
SEC Announces Departure of OIEA Director Lori J. Schock
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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Friday, December 5, 2025
SEC Announces Agenda and Panelists for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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SEC to Host Webinar for Transfer Agents on Regulation S-P
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for Transfer Agents, is a webinar scheduled for Dec. 17…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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Tuesday, November 25, 2025
Cristina Martin Firvida to Conclude Tenure as Investor Advocate
The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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Friday, November 21, 2025
SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy roundtable, previously scheduled for Oct., to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar before…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin
The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18,…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
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SEC Enforcement
Monday, November 17, 2025
SEC Division of Examinations Announces 2026 Priorities
The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…
More information at SECLaw.com Read the Full Press Release
More information at SECLaw.com Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Securities Lawyer,
SEC Enforcement
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