Browsing Tag
U.S. Securities and Exchange Commission (SEC)
136 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.
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
SEC Fines 26 Firms Nearly $400 Million for Recordkeeping Failures
Fines levied for “widespread and longstanding failures” in regard to maintaining and preserving electronic communications
Cetera Latest Big Wealth Manager to Jump on Spot Bitcoin ETF Bandwagon
Joins Carson Group in greenlighting use of four of the 10 approved SEC-approved funds for client portfolios as demand spurs BTC to record high this week
Crypto and Cybersecurity Among Top SEC Priorities for 2024
The SEC published its examination priorities for 2024 with an emphasis on cyber-resiliency, crypto assets, and emerging financial tech
SEC Amends ‘Names Rule’ to Fight Greenwashing
The SEC voted to amend a rule that would mandate investment names with sustainable themes to invest at least 80% of its asset into funds