May 22, 2025
The U.S. Securities and Exchange Commission on Thursday dropped several suits targeting businesses for failing to register as securities "dealers" with the agency as required by law, a move that the SEC's sole Democratic commissioner called "astonishing."
November 14, 2023
A New York federal judge declined to toss a U.S. Securities and Exchange Commission suit claiming that an investment firm and its owners sold more than $30 million in securities without registering as dealers, saying the SEC has plausibly alleged that the owners are dealers.