Browsing Tag
U.S. Securities and Exchange Commission (SEC)
120 posts
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
SEC Fines Idaho RIA for Missteps Related to ‘Biblically Responsible Investing’ Strategy
$300,000 penalty levied as firm made investments contrary to its stated investment criteria
SEC Committee to Discuss Definition of ‘Fiduciary’ Thursday
Panel will seek to clarify who is required to serve in a client’s best interest for investors as courts keep new fiduciary rule from taking effect