Home Enforcement Page 7

Keyword: Enforcement

2611 results found
United States flag with Bitcoin cryptocurrency

SEC launches crypto task force

Hester Peirce to lead agency's effort to bring more certainty to crypto sector

Lightbulb drawn around tree image, indicating sustainable ideas

Global anti-greenwashing efforts on the rise: ISS

Report reveals firm's top ESG trends for investors in 2025

signing document

SEC makes last-minute enforcement push

Agency reports record enforcement filings, seeks to save dealer rule

Court settlement

Vanguard settles with SEC, NASAA

Fund change triggered large tax bills for certain investors, regulators alleged

Judgment fine

Firms shortchanged cash sweep clients: SEC

Advisory clients only offered low-paying sweep accounts, regulator alleged

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

Quant funds failed to guard models: SEC

Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

Chart showing ups and downs of stock market

Broker charged in U.S. insider trading scheme

Authorities allege traders exploited inside info on planned securities offerings

Crypto currency

Crypto exchange gets second US$100-million penalty

BitMEX sanctioned in U.S. for anti-money laundering, KYC violations

Phone text

Private equity giants hit with SEC texting charges

Regulator settles with 12 firms for a combined US$63.1 million

Gavel and texts

SEC sanctions Robinhood violations

Firms pay US$45 million to settle trade reporting, recordkeeping violations