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United States Capitol, Washington DC

The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents

United States Capitol, Washington DC

To qualify, firms must promptly return money to harmed clients

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution

Court approves emergency asset freeze on Dallas-based AriseBank

High angle view of mallet eyeglasses legal book in courtroom

The respondents were allegedly “engaged in shocking misconduct” and were subsequently terminated, resigned or placed on leave

Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee

Less investor protection and greater opportunities for fraud and manipulation mean investors should be wary

Munchee Inc. sought to raise US$15 million

U.S. whistleblower awarded US$2.5 million

The regulator’s whistleblower program, which pays for information resulting in significant enforcement action, has awarded more than US$179 million to 50 whistleblowers thus far

The U.S. regulator has frozen the assets of Dominic Lacroix and his Quebec-based company, PlexCorps