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Keyword: SEC

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gavel

SEC also enjoyed a record level of co-operation in its enforcement efforts

gavel on a wooden bench

The agency reports enforcement action and sanctions surged in 2019

stack of documents or files, overload of paperwork on black background

Tougher rules target proxy solicitation and shareholder proposals

On the top of the world together. A group of people stands on a hill over the beautiful cloudscape.

Proposals are out for a 60-day comment period

baseball

The SEC alleges investors were required to sign agreements stating they would not report securities violations

Candle stick graph chart of stock market investment trading

Certain ETFs won’t be subject to the cost and delay of an exemptive order

Tug war, two businessman pulling a rope in opposite directions over sky background with copy space

Founder and CEO says he will fight until 'we don't have a dollar left'

Wooden gavel used by a judge or auctioneer

The firm failed to review inactive accounts and also overcharged clients, the SEC found

  • By: Staff
  • September 17, 2019 September 17, 2019
  • 15:03

Eight U.S. state attorneys general say the new broker conduct rule waters down investor protections

  • By: Staff
  • September 10, 2019 September 10, 2019
  • 12:32
scales of justice

The firm settled the case without admitting or denying the allegations

  • By: Staff
  • August 14, 2019 August 14, 2019
  • 14:54