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Keyword: SEC

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man hand with pen and business report. Accounting

The regulator aims to modernize its requirements for the use of company securities as pay

loudspeaker

The Trump appointee presided over a deregulatory push to soften rules affecting Wall Street

business documents on office table with smart phone and digital tablet and graph business with social network diagram and man working in the background

For their independent data analysis, the whistleblower was awarded US$1.1 million

Wooden gavel used by a judge or auctioneer

Regulator alleges that executives misled investors by touting phony cross-selling results

courtroom gavel

Deal with regulators involves $920 million in sanctions and disgorgement

scales of justice

The trio faces criminal charges and SEC allegations

gavel

The two men are accused of helping orchestrate a fraudulent offering from an alternative energy provider

Businessman working on Desk office business

Decision has implications for the Canadian Securities Administrators

Close up of a woman using a laptop

An employee may have been infected with Covid-19

Hands Giving & Receiving Money

The individual provided “extensive and sustained assistance” to the SEC