SEC Announces Virtual National Seminar for Investment Advisers and Companies to Strengthen Compliance Frameworks
WASHINGTON D.C. — In a continued effort to fortify the integrity of the nation's financial markets and bolster investor protection,...
Financial Law and Compliance
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
WASHINGTON, D.C. — In a sweeping enforcement action that underscores federal regulators' zero-tolerance approach to fiduciary corruption, the Securities and...
SEC Proposes Major Overhaul of Investment Company "Cross-Trading" Rule to Lower Costs and Modernize Markets
WASHINGTON, D.C. — In a regulatory move designed to align antiquated compliance frameworks with the realities of modern electronic markets,...
SEC Small Business Advisory Committee to Discuss IPO Modernization and Regulation Crowdfunding
The session will take place at the agency’s headquarters at 100 F Street, N.E., Washington, D.C., and will be broadcast...
SEC Unveils Fiscal Year 2027 Examination Priorities: Navigating Evolving Risks in U.S. Capital Markets
WASHINGTON, D.C. — In an announcement that will shape the regulatory compliance landscape for tens of thousands of financial firms,...
SEC Announces Major Roundtable to Address Machine-Understandable Data and the Rise of Super Intelligence in Financial Markets
WASHINGTON, D.C. — In a proactive regulatory move responding to the rapid evolution of artificial intelligence, the U.S. Securities and...
U.S. and Japanese Financial Regulators Forge Deeper Ties at Tokyo Dialogue to Address Evolving Global Markets
WASHINGTON, D.C. / TOKYO — In an era marked by rapid technological transformation, shifting macroeconomic conditions, and an increasingly interconnected...
SEC and French AMF Forge Landmark Cross-Border MOU to Streamline Asset Management Oversight and Resume Registration Applications
WASHINGTON D.C. — In a significant development for transatlantic financial markets, the U.S. Securities and Exchange Commission (SEC) and France’s...
SEC Proposes Landmark Modernization of Crypto Asset Custody Rules for Investment Advisers and Regulated Funds
WASHINGTON, D.C. — In a sweeping regulatory move that could fundamentally reshape the intersection of digital assets and traditional finance,...
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The federal complaint, lodged in the U.S. District Court for the Southern District of New York, accuses the defendants of...
SEC Slams OTC Link LLC with $575,000 Penalty and Censure Over Nearly a Decade of Regulation SCI Breaches
WASHINGTON, D.C. — In a decisive enforcement action underscoring the federal government’s zero-tolerance policy toward structural cyber-neglect in market infrastructure,...
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
According to federal regulators, the defendants exploited deep-rooted bonds of trust by specifically targeting military veterans and healthcare professionals who...
