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 on Form CRS: Keep it Clear and Simple
An SEC committee warns that client relationship summary compliance improvement appears to be needed, and offers guidance in a variety of areas
Trump Appointee Elad Roisman Resigning as SEC Commissioner
Commissioner increasingly opposed Chairman Gary Gensler’s agenda “for plans to redo recently completed rules, add new regulatory obligations, and constrain investor choice.”
‘Christian Advisor’ Gets 3 Life Sentences for Stealing Retirement Funds
He promised investors they would receive guaranteed, risk-free returns ranging from 5% to 8% per year
Fintech Under Fire: Benartzi Responds to SEC’s ‘Digital Nudge’ Warning
Initially praising technology's role in advancing investing for the public, Gensler's tone and focus quickly shifted
SEC Chairman Gensler: No Ban on Cryptocurrencies
It's still the Wild West or the old world of 'buyer beware.'
SEC Fines 8 Broker-Dealers for Cybersecurity Failures
The SEC today announced it has sanctioned eight firms in three actions for failures in their cybersecurity policies and procedures.
Gensler Signals Different Road is Quickest Way to a Bitcoin ETF
While the Securities and Exchange Commission has long been dragging its feet when it comes to approving a…
Unreported Cyberattacks on Retirement Accounts Lead to $1.5M SEC Fine for B-D
The Securities and Exchange Commission (SEC) on Wednesday announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based…
Gary Gensler Confirmed as SEC Chair
Gary Gensler SEC Confirmation marks a 53-45 Senate vote, appointing him as Chairman to lead financial regulation and investor protection.
Bad ‘Actor’ Charged by SEC in $700 Million Ponzi Scheme
Talk about a box office bomb. The Securities and Exchange Commission announced Tuesday that it obtained an asset…