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RIA COMPLIANCE GROUP, LLC
701 S.E. 6th Ave. Suite 201 – Delray Beach, FL 33483
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SEC NEWS
SEC NEWS
- SEC Charges Former Real-Estate Investment CEO with Operating Multimillion Dollar Ponzi-Like Schemeon May 22, 2025 at 6:15 pm
The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling […]
- Unicoin, Top Executives Charged in Offering Fraud That Raised More than $100 Million from Thousands of Investorson May 20, 2025 at 11:45 pm
The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; […]
- Katherine Reilly Named SEC Acting Inspector Generalon May 19, 2025 at 11:30 pm
The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. Ms. Reilly is currently serving as a Deputy Inspector General at the SEC. She replaces Deborah Jeffrey, who has…
- SEC Announces Roundtable on Executive Compensation Disclosure Requirementson May 16, 2025 at 2:55 pm
The Securities and Exchange Commission announced today that it will host a roundtable on June 26, 2025, to discuss executive compensation disclosure requirements. SEC Chairman Paul S. Atkins issued a statement today regarding the roundtable, […]
- SEC Announces Agenda, Panelists for Roundtable on Tokenization Plus Date Change for Roundtable on DeFion May 5, 2025 at 1:00 pm
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its May 12 roundtable, “Tokenization — Moving Assets Onchain: Where TradFi and DeFi Meet.” “Tokenization is a technological development […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con May 22, 2025 at 5:52 pm
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents