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Company: Securities and Exchange Commission

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U.S. broker fined by SEC, CFTC and FINRA

Supervisory lapses allowed shady trading to go unchecked

advisor working from home

SEC proposes fund reporting overhaul

The proposals seek a more investor-friendly approach to fund disclosure

16253748 - hand of a businesswoman at her desk with a pen and a clipboard

Companies to get bigger say in proxy voting advice

SEC adopts reforms that will give issuers a bigger voice

gavel

Investment adviser charged in alleged US$100-million Ponzi scheme

Firm co-founder accused of defrauding investors by mismarking, making up investments

Businessman Blowing Whistle Isolated on White Background

SEC pays US$3.8 million whistleblower award

Tip led to millions of dollars being returned to investors

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

SEC charges Ontario pair

Firm allegedly sold stock based on false hype about its wind turbine technology

Business lawyer team. Working together of lawyer in the meeting.

Crypto app sanctioned for straying into swap trading

SEC and CTFC settle charges against app developer

United States Federal Reserve System symbol

SEC seeks to cut fund manager reporting burden

Proposal would boost reporting threshold from US$100 million to US$3.5 billion

  • July 10, 2020 July 10, 2020
  • 17:11
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Pilot to study trading-fee rebates scrapped

A court ruling against the SEC has implications for Canada

suspicious client

Industry applauds, investors lament new “best interest” standards

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct