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The Securities and Exchange Commission is closely monitoring the impact of Hurricane Milton on investors and capital markets. The SEC also continues to monitor the prior impact of Hurricane Helene.
Eleven Firms to Pay More Than $88 Million Combined to Settle …
Sep 24, 2024 · The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications in violation of ...
Press Releases - SEC.gov
Home. Newsroom. Press Releases. Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive. E-mail Updates. To sign up for updates, please enter your e-mail address below. Subscribe. Press Releases RSS Feed. Search By Headline: Year:
Supreme Court strips SEC of enforcement tool in fraud cases | AP News
Jun 27, 2024 · The Supreme Court has stripped the Securities and Exchange Commission of a major tool in fighting securities fraud in a decision that also could have far-reaching effects on other regulatory agencies.
US appeals court strikes down SEC private equity, hedge fund …
Jun 5, 2024 · A U.S. appeals court threw out a Securities and Exchange Commission rule intended to give investors more transparency into private funds, handing a victory to the nearly $27 trillion...
Gary Gensler unleashes biggest SEC regulatory blitz since financial …
Aug 31, 2023 · US Securities and Exchange Commission chair Gary Gensler has hit the financial sector with more new major rules and regulatory proposals than any predecessor since the response to the...
US Treasury Market Braces for Overhaul as SEC Adopts New …
Dec 13, 2023 · The five-member U.S. Securities and Exchange Commission voted 4-1 on Wednesday to finalize the new rules, proposed over a year ago, marking the most significant overhaul in decades of...
US SEC adopts Treasury market dealer rule as market overhaul …
Feb 6, 2024 · The new Securities and Exchange Commission (SEC) rule is part of a broader effort to fix structural issues regulators say are causing liquidity problems in the $26 trillion Treasury market.
Supreme Court knocks down Wall Street regulator’s in-house courts
Jun 27, 2024 · The Supreme Court ruled Thursday that the Securities and Exchange Commission can’t rely on in-house courts to resolve certain enforcement disputes, a decision that could deliver a blow to a...
U.S. SEC votes to advance stock market overhaul proposals
NEW YORK, Dec 14 (Reuters) - The U.S. Securities and Exchange Commission on Wednesday voted to propose some of the biggest changes to American equity market structure in nearly two...
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