SEC

Industry

Crypto in the crosshairs of SEC custody proposals

Rule changes would extend advisers' obligations to all client assets

By James Langton |February 15, 2023

3 min read

Industry

SEC opts for early move to T+1

Regulator rejects industry's call for Labour Day 2024 transition

By James Langton |February 15, 2023

3 min read

Industry

Crypto insider pleads guilty in tipping case

Ex-Coinbase employee admitted guilt in first crypto insider trading scheme

By James Langton |February 7, 2023

1 min read

Industry

Firms falling short of ‘best interest’ standards: SEC

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

By James Langton |January 30, 2023

2 min read

Industry

Bloomberg sanctioned over bond pricing disclosures

Securities prices sometimes relied on single sources, the SEC alleged

By Staff |January 23, 2023

2 min read

Industry

SEC rewards one tipster, denies another

Earlier tip didn't prompt investigation or enforcement action, regulator rules

By James Langton |January 13, 2023

2 min read

Industry

SEC charges ex-McDonald’s CEO over firing disclosure

Regulator alleged investors weren't told the truth about CEO's dismissal

By James Langton |January 9, 2023

3 min read

Industry

SEC sanctions former fund manager over conflict

Ex-BlackRock portfolio manager sought help for daughter's acting career while investing in film industry

By James Langton |January 5, 2023

2 min read

Industry

SEC discretion nets tipster US$37M award

Regulator set aside timing requirements and ordered award for anonymous tips

By Staff |December 19, 2022

2 min read

Industry

SEC market overhaul to boost exchanges, hurt brokers

Proposed reforms are likely to drive volume away from wholesalers and market makers, reports say

By James Langton |December 19, 2022

2 min read

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