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Two golden coins - Bitcoin and Ethereum

Crypto in the crosshairs of SEC custody proposals

Rule changes would extend advisers' obligations to all client assets

Happy young businessman or trader in formalwear and eyeglasses using laptop and smiling while sitting in his modern office. Stock exchange. Financial trading concept. Investment concept

SEC opts for early move to T+1

Regulator rejects industry's call for Labour Day 2024 transition

Stack of cryptocurrencies in a circle on the motherboard

Crypto insider pleads guilty in tipping case

Ex-Coinbase employee admitted guilt in first crypto insider trading scheme

Firms falling short of ‘best interest’ standards: SEC

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

Financial graph on technology abstract background

Bloomberg sanctioned over bond pricing disclosures

Securities prices sometimes relied on single sources, the SEC alleged

  • By: Staff
  • January 23, 2023 January 23, 2023
  • 14:38
Upset Corporate or Government Whistleblower stock photo

SEC rewards one tipster, denies another

Earlier tip didn't prompt investigation or enforcement action, regulator rules

gavel on a wooden bench

SEC charges ex-McDonald’s CEO over firing disclosure

Regulator alleged investors weren't told the truth about CEO's dismissal

Gavel

SEC sanctions former fund manager over conflict

Ex-BlackRock portfolio manager sought help for daughter's acting career while investing in film industry

Silver referee whistle

SEC discretion nets tipster US$37M award

Regulator set aside timing requirements and ordered award for anonymous tips

  • By: Staff
  • December 19, 2022 December 19, 2022
  • 14:56
financial stock market graph on technology abstract background

SEC market overhaul to boost exchanges, hurt brokers

Proposed reforms are likely to drive volume away from wholesalers and market makers, reports say