Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/post_company/securities-and-exchange-commission/ Canada's news source for financial professionals Thu, 04 Dec 2025 19:14:27 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 Virtu sanctioned by SEC https://www.investmentexecutive.com/uncategorized/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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]]> SEC’s crypto enthusiasm poses risks to investors: WFE https://www.investmentexecutive.com/news/secs-crypto-enthusiasm-poses-risks-to-investors-wfe/ Thu, 27 Nov 2025 18:19:50 +0000 https://www.investmentexecutive.com/?p=526449 Group calls on regulator to keep crypto relief focused, limited

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]]> SEC sanctions broker for weak cyber defences https://www.investmentexecutive.com/news/sec-sanctions-broker-for-weak-cyber-defences/ Wed, 26 Nov 2025 14:12:09 +0000 https://www.investmentexecutive.com/?p=526294 Firm suffered email account takeovers amid alleged lack of policies

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]]> Court orders sanctions in precious metals scheme https://www.investmentexecutive.com/news/court-orders-sanctions-in-precious-metals-scheme/ Fri, 21 Nov 2025 16:17:23 +0000 https://www.investmentexecutive.com/?p=525972 Parallel cases by SEC, CFTC and state regulators result in restitution, penalties

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]]> SEC drops crypto from compliance exams https://www.investmentexecutive.com/news/sec-drops-crypto-from-compliance-exams/ Tue, 18 Nov 2025 18:53:56 +0000 https://www.investmentexecutive.com/?p=525711 Exam priorities no longer cite crypto as an emerging risk, or focus

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]]> SEC to take a pass on proxy season https://www.investmentexecutive.com/news/sec-to-take-a-pass-on-proxy-season/ Mon, 17 Nov 2025 19:16:19 +0000 https://www.investmentexecutive.com/?p=525605 Regulator won't weigh in on decisions to reject shareholder proposals

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]]> Fake advisory firms in ‘ramp-and-dump’ scam: SEC https://www.investmentexecutive.com/news/fake-advisory-firms-in-ramp-and-dump-scam-sec/ Fri, 14 Nov 2025 21:35:56 +0000 https://www.investmentexecutive.com/?p=525541 Firms used social media to pump stocks, leaving investors with huge losses

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]]> Double trouble: Twins convicted of defrauding clients https://www.investmentexecutive.com/news/double-trouble-twins-convicted-of-defrauding-clients/ Fri, 14 Nov 2025 21:11:23 +0000 https://www.investmentexecutive.com/?p=525534 Pair stole millions from clients, including vulnerable investors

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]]> Former exec allegedly duped firm of US$150 million https://www.investmentexecutive.com/news/from-the-regulators/former-exec-allegedly-duped-firm-of-us150-million/ Wed, 05 Nov 2025 21:53:00 +0000 https://www.investmentexecutive.com/?p=524645 U.S. authorities allege that executive ran complex fraud scheme

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