Browsing Tag
U.S. Securities and Exchange Commission (SEC)
122 posts
Senate Confirms Atkins as SEC Commissioner
As SEC commissioner, Atkins is expected to cut down on strict regulation for cryptocurrencies
SEC Releases Updates on Marketing Rules
The agency included updates on gross, net and extracted performance with marketing rules
Trump Taps Interim Leaders for SEC, DOL
President Donald Trump has appointed Mark Uyeda and Vincent Micone as acting chairs for the SEC and DOL
Vanguard Agrees to $106 Million Fine to Settle SEC Charges Over Target Date Fund Violations
Settlement announced by SEC order today stems from Dec. 2020 move to significantly lower minimum initial investment amount of its Institutional TRFs
Trump Nominates Crypto Backer Paul Atkins to Lead SEC
Atkins has a track record of crypto-friendly moves, including serving as co-chairman of crypto advocacy group Digital Chamber's Token Alliance
SEC Collects $8.2B in Financial Remedies for FY 2024
Still, enforcement activity has decreased compared to fiscal year 2023, the SEC reports
SEC Chair Gary Gensler to Step Down in 2025
Gensler announced Thursday he would step down from his role on January 20, 2025
SEC Docks Invesco Advisers $17.5M for Misleading ESG Statements
Charge involves 2020-2022 claims that a high percentage of company-wide assets were ESG integrated
Fiduciary Duty, Reg BI Highlight SEC 2025 Exam Priorities
Fiduciary duty, standards of conduct, cybersecurity and AI among SEC Division of Examinations FY 2025 priorities released today
SEC Fines 11 More Firms for Recordkeeping Failures
Stifel and Invesco will each pay $35 million for “pervasive and longstanding use” related to failing to preserve employees’ off-channel communications