Dashboard – RIA

SEC Charges Three Arizona Individuals with Defrauding Investors in $284 Million Municipal Bond Offering That Financed Sports Complex April 1, 2025
The Securities and Exchange Commission today charged Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga with creating false documents that were provided to investors in two municipal bond offerings that raised $284 million to build one of the…
SEC Votes to End Defense of Climate Disclosure Rules March 27, 2025
The Securities and Exchange Commission today voted to end its defense of the rules requiring disclosure of climate-related risks and greenhouse gas emissions. SEC Acting Chairman Mark T. Uyeda said, “The goal of today’s Commission action and…
SEC Crypto Task Force to Host Four More Roundtables March 25, 2025
The SEC's Crypto Task Force will hold four more roundtables in its ongoing series discussing crypto asset regulation.
SEC Announces Agenda, Panelists for Roundtable on Artificial Intelligence March 20, 2025
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies,…
SEC Charges New Jersey Investment Adviser and His Firm with Fraud and Other Violations March 17, 2025
The Securities and Exchange Commission today announced that it has filed charges against David Yow Shang Chiueh of East Hanover, New Jersey and his investment advisory firm, Upright Financial Corp., for misconduct and for investing more than 25…
SEC Extends Compliance Dates for Amendments to Investment Company Names Rule March 14, 2025
The Securities and Exchange Commission today announced a six-month extension of the compliance dates for amendments adopted in September 2023 to the Investment Company Act “Names Rule,” which addresses fund names likely to mislead investors about a fund’…
SEC Charges Investment Adviser and Two Officers for Misuse of Fund and Portfolio Company Assets March 7, 2025
The Securities and Exchange Commission today filed settled charges against registered investment adviser Momentum Advisors LLC, its former managing partner Allan J. Boomer, and its former chief operating officer and partner Tiffany L. Hawkins, for…
Filer Transition to New and Improved EDGAR Begins March 24 March 6, 2025
The Securities and Exchange Commission is providing extensive guidance and resources to assist filers with upcoming access and account management enhancements to the security of the agency’s Electronic Data Gathering, Analysis, and Retrieval (EDGAR)…
SEC Crypto Task Force to Host Roundtable on Security Status March 3, 2025
The SEC's Crypto Task Force will host a series of roundtables to discuss key areas of interest in the regulation of crypto assets.
SEC Staff Facilitates Capital Formation for Companies Planning Public Offerings March 3, 2025
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. In…

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