Browsing Tag
U.S. Securities and Exchange Commission (SEC)
141 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 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…
Biden SEC Chair Nominee Gensler One Step from Confirmation
The Senate Banking, Housing, and Urban Affairs Committee voted 14-10 today to advance President Joe Biden’s nomination of…
ESG Matters Listed Among SEC’s 2021 Exam Priorities
SEC 2021 Examination Priorities highlight Reg BI, Form CRS, COVID-19 impacts, and ESG focus for firms and financial advisors.
Biden Taps ‘Tenacious Regulator’ Gensler to Lead SEC
Gary Gensler SEC nomination signals tougher Wall Street oversight and stronger investor protection under the Biden administration.
Biden Rumored to Pick Gary Gensler as SEC Chairman
President-elect Joe Biden is expected to choose Gary Gensler, a former financial regulator, and Goldman Sachs executive, to…
Trump Names Elad Roisman as New SEC Chair
The Securities and Exchange Commission today announced that President Donald Trump designated Elad L. Roisman as Acting Chairman…