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wall street, new york city

Firm’s “industry standard” fees were anything but, SEC finds

VC firm charged 10 years of fees upfront, drawing investors ire

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SEC seeks money market reforms

Proposals aim to address liquidity and redemption issues from March 2020

Business man making a presentation at office. Business executive delivering a presentation to his colleagues during meeting or in-house business training, explaining business plans to his employees.

SEC warns about juicing executive pay

The U.S. regulator called out the practice of granting options ahead of good news

gavel on a wooden bench

SEC total enforcement activity down slightly in 2021

The U.S. regulator reported a record year for whistleblowers

gavel

SEC enforcement down again in 2021

Drop in public company cases follows turnover at the U.S. regulator, pandemic

Abstract,Golden Bitcoin money on computer.

SEC rejects Bitcoin ETF

Regulator continues to be concerned about market manipulation

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SEC finds pervasive problems at U.S. robos

The regulator's reviews uncovered deficiencies at most firms examined

U.S. flag

Whistleblower double dips on enforcement tip

Tipster gets extra US$2-million payout for tip that led to SEC and DoJ action

Man stopping line of dominoes from falling

Complex ETFs to face SEC scrutiny

Leveraged and inverse ETFs may present risks that go beyond retail investors, Gary Gensler said

Man stopping line of dominoes from falling

SEC bans pair for pointless whistleblower filings

Rule changes from 2020 enable SEC to ban frivolous filers from its tip award program