Securities & Markets

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 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 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 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.

SEC Order to Show Cause Against BorrowMoney.com

The SEC has issued an order to show cause against BorrowMoney.com, Inc. for failing to respond to an earlier order instituting proceedings. The company must explain why its securities registration should not be revoked by March 19, 2026.

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OSMRE Rescinds Ten-Day Notices Rule, Reinstates 2020 Rule

The Office of Surface Mining Reclamation and Enforcement (OSMRE) is rescinding its April 2024 "Ten-Day Notices" rule. It is replacing it with the November 2020 rule, with minor modifications to streamline coordination with state regulatory authorities. This rule is effective March 23, 2026.

Montana Regulatory Program Rule

The Office of Surface Mining Reclamation and Enforcement (OSMRE) is seeking public comment on a proposed amendment to Montana's regulatory program for surface coal mining and reclamation. The comment period closed on February 13.

Government Regulations and Public Notices Document Access

This notice concerns the accessibility of government regulations and public notices through the regulations.gov platform. It aims to inform users about the availability and methods for accessing these important documents.