[Alabama Securities Commission] The Alabama Securities Commission (ASC) announced that a digital asset financial services company, Nexo Group, Nexo Inc., Nexo Capital Inc., Nexo Financial LLC, collectively known as “Nexo”, agreed to settlement terms regarding past unregistered offers and sales of securities to Alabama residents. Nexo shall pay a total of $22,500,000 in fines to the 53 NASAA member jurisdictions, or $424,528.30 per jurisdiction to resolve the violations.

Investment Advisers Act of 1940: the US law defining who can advise on securities for a fee, imposing fiduciary duty, and governing paid finfluencer endorsements.

Investment Advisers Act of 1940: the US law defining who can advise on securities for a fee, imposing fiduciary duty, and governing paid finfluencer endorsements.

[Alabama Securities Commission] The Alabama Securities Commission (ASC) issued a Cease and Desist Order against GS Partners Global (GS Partners), WealthBuilders Worldwide (WealthBuilders), GS Partners Chairman of the Board Josip Heit, and representatives of the companies located in Alabama: Nathaniel Hines, Jr., Jeanette Hines, Del Lewis, and Diana Lewis, to prohibit the companies and individuals from further offers and sales of unregistered securities and from acting as unregistered investment advisors or investment advisor representatives. The ASC investigation is in connection with a multi-jurisdictional investigation which includes regulators from both the US and Canada.

[Alabama Securities Commission] ASC, CFTC, and 29 State Regulators Reach Settlement with Safeguard Metals in $68 Million Fraud Targeting Elderly Adults

[Alabama Securities Commission] Alabama Securities Commission Appoints Amanda Senn Director

[Alabama Securities Commission] Four state securities regulators filed coordinated enforcement actions to stop sales of non-fungible tokens, often referred to as NFTs, by an organization in the country of Georgia. The actions accuse Slotie NFT (“Slotie”) of illegally and fraudulently selling NFTs to raise capital relating to gaming in online and metaverse casinos.

India’s capital markets are evolving rapidly, demanding a regulatory framework that is both modern and market-responsive. by Indra Chourasia, BasisPointInsight.com

In Jewel LLC v. Shanghua, the Appeals Court heard arguments about whether an email that told an investor to “check the website” satisfied disclosure obligations under the Massachusetts Uniform Securities Act (MUSA) and Chapter 93A. Appellant says the phrase did not convey GTI’s dire finances; respondents cite the trial judge’s credibility findings and SEC filings.

On November 17, 2025, the Division of Corporation Finance (the “Division”) of the Securities and Exchange Commission announced significant changes to its handling of shareholder proposals for the 2025...

The committee approved H 648, a Department of Financial Regulation housekeeping bill, adopting four amendments: changing 'registration' to 'license' for certain firms, deleting a contested Community Reinvestment Act substitution, extending a virtual-currency kiosk moratorium one year, and narrowing a securities notice-filing exemption. The amended bill passed 7-0.

Regulatory Reform: Jimmy Carter & the SEC | The Corporate Counsel A new blog post by Managing Editor John Jenkins. #securitiesregulation #SEC #corpgov…