SEC

Morgan Stanley client info on auctioned devices: SEC

The firm agreed to pay US$35 million to settle privacy violation allegations

By James Langton |September 20, 2022

2 min read

SEC sanctions firm over SPAC deal disclosures

Conflicts involving SPACs needed more transparency, regulator alleged

By James Langton |September 6, 2022

1 min read

ESG integration category criticized in responses to SEC proposals

Morningstar and As You Sow said the category could make ESG fund comparisons more difficult for investors

By Mark Burgess |August 17, 2022

2 min read

SEC alleges PR firm employee tipped partner to trade on Equifax breach

The scheme even included a reference to "Blue Horseshoe," the code for inside information in the 1987 movie Wall Street

By James Langton |August 16, 2022

2 min read