Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ Canada's news source for financial professionals Fri, 19 Dec 2025 20:39:38 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ 32 32 SEC sanctions Canadian over pump-and-dumps https://www.investmentexecutive.com/uncategorized/sec-sanctions-canadian-over-pump-and-dumps/ Fri, 19 Dec 2025 20:39:38 +0000 https://www.investmentexecutive.com/?p=528204 Accountant allegedly found assets used to lure investors to schemes

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]]> SEC sanctions key figures in FTX scandal https://www.investmentexecutive.com/uncategorized/sec-sanctions-key-figures-in-ftx-scandal/ Fri, 19 Dec 2025 18:42:46 +0000 https://www.investmentexecutive.com/?p=528207 Execs that previously pleaded guilty in fraud case accept regulatory sanctions

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]]> CIRO trading increment reforms approved https://www.investmentexecutive.com/uncategorized/ciro-trading-increment-reforms-approved/ Fri, 19 Dec 2025 11:00:39 +0000 https://www.investmentexecutive.com/?p=528162 Changes allow SRO to match SEC on standards for inter-listed stocks

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]]> Corporate director convicted of insider trading https://www.investmentexecutive.com/uncategorized/corporate-director-convicted-of-insider-trading/ Fri, 19 Dec 2025 11:00:15 +0000 https://www.investmentexecutive.com/?p=528112 Director tipped others and traded ahead of pending acquisition

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]]> SEC alleges bitcoin miner duped investors https://www.investmentexecutive.com/news/sec-alleges-bitcoin-miner-duped-investors/ Thu, 18 Dec 2025 14:22:39 +0000 https://www.investmentexecutive.com/?p=528019 Scheme promised investors passive income from crypto mining: regulator

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]]> U.S. charges Canadian in alleged crypto Ponzi scheme https://www.investmentexecutive.com/news/from-the-regulators/u-s-charges-canadian-in-alleged-crypto-ponzi-scheme/ Wed, 10 Dec 2025 22:19:12 +0000 https://www.investmentexecutive.com/?p=527453 SEC, DoJ allege that scheme started on social media

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]]> SEC supports lifting constraints on equity research https://www.investmentexecutive.com/news/sec-supports-lifting-constraints-on-equity-research/ Mon, 08 Dec 2025 20:21:38 +0000 https://www.investmentexecutive.com/?p=527239 "Dot-com" era conflict restrictions no longer needed, regulator agrees

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]]> Rep sanctioned in SEC fraud case https://www.investmentexecutive.com/uncategorized/rep-sanctioned-in-sec-fraud-case/ Fri, 05 Dec 2025 11:00:09 +0000 https://www.investmentexecutive.com/?p=527052 Investors misled about rep's trading success, disciplinary history

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]]> Virtu sanctioned by SEC https://www.investmentexecutive.com/news/virtu-sanctioned-by-sec/ Thu, 04 Dec 2025 19:14:27 +0000 https://www.investmentexecutive.com/?p=526984 Regulator alleged firm failed to protect clients' trading data

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]]> Hedge fund was a Ponzi scheme, SEC alleges https://www.investmentexecutive.com/news/hedge-fund-was-a-ponzi-scheme-sec-alleges/ Thu, 27 Nov 2025 18:54:29 +0000 https://www.investmentexecutive.com/?p=526456 Investors' funds misappropriated, used to pay returns, authorities say

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