Securities and Exchange Commission | Investment Executive https://www.investmentexecutive.com/tag/securities-and-exchange-commission/ Canada's news source for financial professionals Tue, 24 Mar 2026 18:54:41 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.4 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 Firm failed to disclose conflict in asset allocation: SEC https://www.investmentexecutive.com/news/firm-failed-to-disclose-conflict-in-asset-allocation-sec/ Tue, 24 Mar 2026 18:54:41 +0000 https://www.investmentexecutive.com/?p=534669 Conflict arose from allocation that generated revenue from "no fee" accounts

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]]> SEC settles case against VC fund adviser https://www.investmentexecutive.com/news/sec-settles-case-against-vc-fund-adviser/ Tue, 24 Mar 2026 18:38:25 +0000 https://www.investmentexecutive.com/?p=534583 Regulator alleged US$14 million overcharging, settles for US$150,000 penalty

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]]> SEC wraps insider trading case https://www.investmentexecutive.com/news/from-the-regulators/sec-wraps-insider-trading-case/ Tue, 24 Mar 2026 09:11:15 +0000 https://www.investmentexecutive.com/?p=534564 Enforcement case concluded against man convicted of insider trading

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]]> SEC redefines crypto’s securities status https://www.investmentexecutive.com/news/sec-redefines-cryptos-securities-status/ Wed, 18 Mar 2026 13:39:21 +0000 https://www.investmentexecutive.com/?p=534073 Only tokenized securities count under new guidance that also clarifies landmark legal test

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]]> SEC focuses OTC market rules https://www.investmentexecutive.com/news/sec-focuses-otc-market-rules/ Tue, 17 Mar 2026 19:01:12 +0000 https://www.investmentexecutive.com/?p=534052 Regulator seeks to limit brokers' OTC requirements to equities

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]]> SEC’s new enforcement chief resigns https://www.investmentexecutive.com/news/secs-new-enforcement-chief-resigns/ Mon, 16 Mar 2026 20:37:32 +0000 https://www.investmentexecutive.com/?p=533936 Former judge leaves agency after just over six months

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]]> FINRA reforms aim to ease burdens https://www.investmentexecutive.com/news/finra-reforms-aim-to-ease-burdens/ Mon, 16 Mar 2026 20:26:54 +0000 https://www.investmentexecutive.com/?p=533928 SRO's proposals seek to enhance regulatory efficiency

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]]> NYSE sanctioned over market outage https://www.investmentexecutive.com/news/nyse-sanctioned-over-market-outage/ Fri, 06 Mar 2026 19:27:04 +0000 https://www.investmentexecutive.com/?p=533359 Maintenance mishap led to failure of market opening auctions

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]]> Canaccord failed to flag suspicious trading: U.S. regs https://www.investmentexecutive.com/news/canaccord-failed-to-flag-suspicious-trading-u-s-regs/ Fri, 06 Mar 2026 17:30:06 +0000 https://www.investmentexecutive.com/?p=533357 Enforcement action targets weaknesses in AML controls, compliance

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]]> Private equity exec pleads guilty in pre-IPO fraud https://www.investmentexecutive.com/news/from-the-regulators/private-equity-exec-pleads-guilty-in-pre-ipo-fraud/ Fri, 06 Mar 2026 09:00:06 +0000 https://www.investmentexecutive.com/?p=533273 Investors were falsely promised pre-IPO access, but money misappropriated

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