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Company: Securities and Exchange Commission

1453 results found
Businessman shamed

Fired CEO’s bid to turn lemons into lemonade illegal: SEC

CEO faces insider trading charges for selling company's stock based on advance knowledge of its negative earnings, and his own firing

Metal handcuffs placed over the word fraud

Nigerian scammers impersonating legit advisors: SEC

U.S. authorities allege that men primarily posed as female advisors

Whistleblower

Research finds paying whistleblowers works

Programs in U.S. and Canada have proven effective at detecting, deterring financial crime

Judge looks at papers

U.S. brokerage failed to guard against reps’ theft

Morgan Stanley sanctioned by SEC for supervisory failures

Judge makes ruling

B.C. court upholds limitations on asset freezes

Target of SEC enforcement can have access to frozen funds for appeal, court says

announcement

Ex-SEC commissioner tapped to lead agency

Trump nominates crypto advocate as next head of the SEC

Judge's gavel with magnifying glass on black.

SEC reports record financial remedies

Enforcement case volumes decline in fiscal 2024, agency says

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Ex-CDPQ employees caught in U.S. corruption case

Charges involve alleged bribes paid for government contracts in India

Businessman Blowing Whistle Isolated on White Background

Sweeps buoyed SEC enforcement: report

Brokers' texting, whistleblower protections among regulator's priorities

Wells Fargo claws back US$75 million from top execs in sales scandal

With Trump’s return, Gensler to leave SEC

Departure clears the way for Republicans to name new top regulator