sec

SEC Suspends American CryptoFed DAO LLC Registration Statement

The SEC has suspended the effectiveness of American CryptoFed DAO LLC's registration statement via an Initial Decision. This stop order action stems from the omission of required information, including audited financial statements, and misleading statements within the filing.

SEC Postpones Hearing for Horizon Thread Registration Statement

The SEC has postponed a hearing for Horizon Thread (PTY) Ltd's registration statement by 60 days. This postponement allows the company to amend its statement to cure deficiencies. A joint status update is required by February 9, 2026.

SEC Postpones Horizon Thread Hearing to December 15

The SEC has postponed the administrative hearing for Horizon Thread (PTY) Ltd from November 25, 2025, to December 15, 2025. This postponement is due to the Division of Enforcement's inability to serve the order instituting proceedings on the respondent.

SEC Postpones Horizon Thread Registration Statement Deadline

The SEC has granted a 60-day postponement of deadlines in the administrative proceeding against Horizon Thread (PTY) Ltd. This allows the company additional time to cure deficiencies in its amended registration statement. The next status update is due April 13, 2026.

SEC Redesignates Judge for Epic Capital Wealth Advisors Proceeding

The SEC has redesignated the presiding judge for the administrative proceeding against Epic Capital Wealth Advisors, LLC. The new judge has ordered parties to file opening briefs by December 15, 2025, addressing specific requirements for investment adviser registration.

SEC Administrative Proceeding Order - Horizon Thread (PTY) Ltd

The SEC issued an administrative order regarding Horizon Thread (PTY) Ltd, setting deadlines for filing an answer and a joint report. The order follows the respondent's stipulation to service and waiver of certain requirements in an ongoing administrative proceeding concerning its registration statement.

SEC Extends Decision Time for Laurence G. Allen

The Securities and Exchange Commission (SEC) has extended the decision deadline for Laurence G. Allen by 90 days in an administrative proceeding. The new deadline for issuing a decision is June 10, 2026.

SEC Reviews FINRA Action - Adam Strege

The SEC reviewed FINRA's action prohibiting Adam Strege from accessing its customer arbitration forum. The Commission partially set aside FINRA's order, dismissing the denial of current access but vacating the prospective ban on future attempts.

SEC Denies Sandeep Aggarwal's Motion to Vacate Bar

The SEC denied Sandeep Aggarwal's motion to vacate or modify bars previously imposed in a 2014 settlement order. Aggarwal sought to remove bars from association with broker-dealers and participation in penny stock offerings, which stemmed from his 2013 injunction and criminal conviction for securities fraud.

SEC Grants FINRA Extension for Kaplan Review

The SEC has granted FINRA an extension to file the certified record in the administrative proceeding concerning Adam Scott Kaplan and Daniel Evan Kaplan. FINRA must now file the record by March 31, 2026. The SEC also requested briefing from FINRA on the applicants' stay request.