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Company: Securities and Exchange Commission

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Businessman Blowing Whistle Isolated on White Background

Program aims to close gaps involving crimes that aren't cases for SEC, CFTC

ESG dividends

Regulators seek to combat fund industry greenwashing risks

20280679 - businessman in boxing gloves on background

Industry, environmental groups gearing up for legal fight over disclosure requirements

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

Financial sector funds now out of bounds for regulator's employees

gavel

U.S. authorities allege man secretly traded after overhearing wife's M&A deal

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Broker failed to alert investors to cheaper investing channel, regulator alleges

Judge's gavel with magnifying glass on black.

ETF firm failed to disclose influencer's role in touting fund, regulator alleged

Justice scales and gavel by books

Firms failed to ensure that all communications went through approved channels

A person inside a financial maze made out of hedges.

Regulators aim to enhance systemic risk oversight, investor protection

gavel

Trading bot used for wash trading, spoofing crypto token