Regulation
Cantor Fitzgerald Settles SEC Charges Over Misleading SPAC Disclosures
The firm will pay a $6.8 million fine for allegedly making false statements in regulatory filings.
Tag: SEC
Newsmakers
Trump’s SEC Nomination Draws Strong Reactions
The appointment of Paul Atkins as SEC chair, pending Senate confirmation, received predictably mixed reactions, with cryptocurrency a hot talking point on both sides.
Newsmakers
Trump Nominates Former SEC Commissioner to Top Job
Paul Atkins will be put up to replace Gary Gensler, bringing SEC experience from a Republican administration and support for digital assets.
Regulation
SEC Files Fewer Total Enforcement Actions, but Total Remedies Still Hit Record
More than half of the regulator's $8.2 billion in remedies for fiscal 2024 came from a securities fraud case against Terraform Labs.
Newsmakers
SEC Chair Gensler to Step Down January 20
After a 'robust rulemaking agenda,' Gensler's departure will coincide with President-elect Trump's inauguration.
Regulation
Invesco Pays $17.5M Fine to Settle SEC Greenwashing Charges
However, the future of ESG regulation in the U.S. is unclear under a second Trump administration.
Regulation
SEC Monitoring Effects of Hurricane Milton on Capital Markets
The agency will evaluate granting relief from filing deadlines to firms affected by the hurricane.
How Investors, Public Companies View SEC’s Cybersecurity Disclosure Requirements
Disclosure requirements can be a hassle for companies, but investors seek to understand material risks.
Regulation
Investor Groups Petition SEC to Cut 13F Reporting Timeline to 5 Days
Information is out of date under the current 45-day timeline, per the NYSE and two investment professional groups.
Risk
Cyber Attackers Targeted 10% of Russell 3000 Companies in 2022-23, Study Says
Many corporations outsource their IT functions, which makes them especially vulnerable, an ISS report finds.
Regulation
Corporate Raider Icahn Fined $2M for Disclosure Failure
The investor agreed to fines for not reporting he had borrowed against his stake in an investment firm he controls.
Regulation
SEC’s Best Takes Leave Again to ‘Focus on His Health’
Keith Cassidy will serve as interim acting director of the regulator’s examinations division, as Best takes second medical leave in a year.
Regulation
SEC Looks to Finalize Remaining Market Structure Rules by October
The proposal aims to improve stock order competition but has received mixed feedback from the public.
Silvergate Capital Settles Charges of Failing to Monitor $1T in Transactions
The firm allegedly misled investors about its compliance and oversight of transactions, including those made by defunct cryptocurrency exchange FTX.
Investment Fund CIO Pleads Guilty to Securities Fraud
Joshua Goltry ‘lied about nearly every aspect’ of his fund’s operations and performance, according to federal prosecutors and the SEC.