Joel Castellanos
The Securities and Exchange Commission recently brought a case against Joel Castellanos in the Southern District of Florida on February...
Securities & Exchange
June 3, 2026 Deadline for Smaller Investment Advisers to Comply with Regulation S-P
As the deadline of June 3, 2026, looms closer, registered investment advisers managing less than $1.5 billion in assets are...
Joseph Lewis, Carolyn Carter, Patrick O’Connor, and Bryan Waugh
In a recent legal case, the Securities and Exchange Commission (SEC) filed a lawsuit against Joseph C. Lewis and others,...
Op-Ed: Questioning SEC’s Suppression of Shareholders
The Securities and Exchange Commission (SEC) has recently made decisions that are detrimental to the interests of shareholders, working against...
Sonic Automotive, Inc. Annual Report: Section 13 and 15(d), not S-K Item 405
The annual report of a company is an essential document that provides a comprehensive overview of its financial performance and...
Taylor Lindman from Chainlink appointed as chief counsel for SEC crypto task force
On Monday, Taylor Lindman, who previously held the position of deputy general counsel at Chainlink Labs, began working at the...
Cheniere marks a decade of exporting LNG
Cheniere Energy, Inc., a prominent player in the liquefied natural gas (LNG) industry, is commemorating a significant milestone – the...
MiniMed to launch IPO roadshow on Feb 24, 2026
MiniMed Group, Inc., a subsidiary of Medtronic plc, shared its announcement regarding the initiation of a roadshow for the inaugural...
SEC’s Enforcement Division Updates Enforcement Manual
In a recent announcement, the Division of Enforcement of the Securities and Exchange Commission (SEC) unveiled important updates to its...
US Securities and Exchange Commission to provide more advance notice to targets of probes, introduces additional changes
The U.S. Securities and Exchange Commission (SEC) has announced changes in the way it handles investigations, giving targets of probes...
Wall Street regulator approves intraday trading of tokenized WisdomTree money market fund
The Asset Manager WisdomTree recently received approval from the U.S. Securities and Exchange Commission for intraday trading of a new...
Insights from a law firm: Edgar Next and exchange delegation
One important but often neglected outcome of the Securities and Exchange Commission's move to EDGAR Next is the necessity for...