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Company: Securities and Exchange Commission

1437 results found
Big binders

SEC ramps up funds’ portfolio disclosure demands

Fund industry warns about risks to investors as portfolio reporting increases

Judge's gavel with magnifying glass on black.

Crypto lender settles with SEC

Interest-bearing accounts constituted securities, regulator alleged

rules and regulations

TD, RBC sanctioned by U.S. regulators

Firms charged over unapproved off-channel communications

Fraud allure

Advisor ran US$300 million Ponzi scheme: SEC

Venture promised outsized returns it had no way of generating, regulators allege

SEC alleges crypto scheme was a Ponzi

NovaTech allegedly took more than US$650 million from investors globally

Fraud

U.S. private equity advisor convicted of fraud

Funds used investor capital to pay distributions

Judge looks at papers

U.S. securities class action filings rise

Crypto claims decline, AI-related cases on the rise

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

SEC charges crypto platform founder

Platform claimed to be decentralized, authorities allege

Crossed fingers

Activist short seller charged with securities fraud

SEC, DoJ allege Citron Research, and its founder, misled investors

Red alert

Much work to be done, CSA year in review shows

Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more