Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/tag/securities-and-exchange-commission/ Canada's news source for financial professionals Tue, 03 Mar 2026 22:17:02 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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/tag/securities-and-exchange-commission/ 32 32 Former broker charged in ‘free rider’ case https://www.investmentexecutive.com/news/from-the-regulators/former-broker-charged-in-free-rider-case/ Wed, 04 Mar 2026 09:00:23 +0000 https://www.investmentexecutive.com/?p=533092 Rep allegedly exploited credit brokers provide to facilitate new client trading

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]]> FINRA raises annual limit on gifts https://www.investmentexecutive.com/news/finra-raises-annual-limit-on-gifts/ Fri, 27 Feb 2026 20:07:20 +0000 https://www.investmentexecutive.com/?p=532867 SRO modernizes rules on industry gifts, codifies guidance, exemptions

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]]> Vanguard settles U.S. states’ anti-ESG suit https://www.investmentexecutive.com/news/vanguard-settles-u-s-states-anti-esg-suit/ Fri, 27 Feb 2026 18:08:51 +0000 https://www.investmentexecutive.com/?p=532842 Firm agrees to proxy voting changes, US$29.5 million payment, to end case

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]]> SEC charges seven groups in alleged crypto confidence scam https://www.investmentexecutive.com/news/sec-charges-seven-groups-in-alleged-crypto-confidence-scam/ Wed, 24 Dec 2025 13:45:26 +0000 https://www.investmentexecutive.com/?p=528405 Retail investors targeted by so-called investment groups on social media

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