Securities and Exchange Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 14 Jan 2025 19:23:36 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission – Investment Executive https://www.investmentexecutive.com 32 32 Private equity giants hit with SEC texting charges https://www.investmentexecutive.com/news/from-the-regulators/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 Regulator settles with 12 firms for a combined US$63.1 million

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]]> SEC sanctions Robinhood violations https://www.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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]]> Liquidnet sanctioned by SEC https://www.investmentexecutive.com/news/from-the-regulators/liquidnet-sanctioned-by-sec/ Fri, 10 Jan 2025 22:02:35 +0000 https://www.investmentexecutive.com/?p=500002 ATS operator settles allegations of compliance shortcomings

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]]> CFTC sees turnover ahead of new Trump administration https://www.investmentexecutive.com/news/from-the-regulators/cftc-sees-turnover-ahead-of-new-trump-administration/ Fri, 10 Jan 2025 19:58:54 +0000 https://www.investmentexecutive.com/?p=499973 Regulator's head of enforcement, chair to depart next week

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]]> It took 10 years, but insider trader gets prison https://www.investmentexecutive.com/news/from-the-regulators/it-took-10-years-but-insider-trader-gets-prison/ Mon, 06 Jan 2025 22:22:03 +0000 https://www.investmentexecutive.com/?p=499525 Judge hands down sentence in insider trading case brought in 2015

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]]> U.S. trade reporting violations spark sanctions https://www.investmentexecutive.com/news/from-the-regulators/u-s-trade-reporting-violations-spark-sanctions/ Fri, 20 Dec 2024 17:39:33 +0000 https://www.investmentexecutive.com/?p=499044 Trio of firms sanctioned for regulatory reporting issues

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]]> Pair behind US$100 million deli plead guilty https://www.investmentexecutive.com/news/from-the-regulators/pair-behind-us100-million-deli-plead-guilty/ Fri, 20 Dec 2024 14:36:27 +0000 https://www.investmentexecutive.com/?p=498983 Father, son duo plead guilty to securities fraud, conspiracy charges

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]]> Climate disclosure remains a work in progress https://www.investmentexecutive.com/news/from-the-regulators/climate-disclosure-remains-a-work-in-progress/ Wed, 18 Dec 2024 18:32:05 +0000 https://www.investmentexecutive.com/?p=498839 CSSB issues final standards, CSA still working on rule that would mandate disclosure

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]]> Lutnick’s Cantor settles with SEC https://www.investmentexecutive.com/news/from-the-regulators/lutnicks-cantor-settles-with-sec/ Fri, 13 Dec 2024 19:54:24 +0000 https://www.investmentexecutive.com/?p=498541 Disclosure about SPAC listings was misleading, regulator alleged

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]]> CIRO to match SEC on trading increments https://www.investmentexecutive.com/news/from-the-regulators/ciro-to-match-sec-on-trading-increments/ Thu, 12 Dec 2024 19:28:10 +0000 https://www.investmentexecutive.com/?p=498461 Proposed reforms would harmonize requirements for inter-listed securities

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