Browsing Tag
U.S. Securities and Exchange Commission (SEC)
135 posts
The U.S. Securities and Exchange Commission (SEC) is a federal agency that regulates the securities markets to protect investors, ensure fair and efficient markets, and facilitate capital formation. It oversees securities exchanges, brokers, investment advisers, and public companies, requiring them to disclose important financial information. The SEC enforces securities laws, investigates misconduct such as fraud and insider trading, and works to maintain investor confidence in the U.S. financial system.
Trump Mulls Executive Order to Allow Private Equity in 401(k)s
Report says President considering EO directing federal agencies to explore allowing private equity and other private capital investments in defined contribution plans
SEC Embracing Wider Investor Access to Private Markets
Chair Paul Atkins says SEC should not fear innovation, but champion it in remarks at SEC Speaks conference
Paul Atkins Sworn in as SEC Chair
Atkins' new position as SEC chair is said to ease regulation on digital assets
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