Available positions include at-large members and senior citizen representatives. The Securities and Exchange Commission (SEC) is accepting applications for its Investor Advisory Committee, which was created under the…
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SEC Fines Broker-Dealer for Market Access and Confidentiality Violations
Liquidnet agrees to a settlement over charges of inadequate controls, safeguards, and misleading disclosures. The Securities and Exchange Commission (SEC) announced that Liquidnet Inc., a broker-dealer operating multiple…
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SEC Charges Crypto Market Manipulators in Fraudulent Trading Scheme
Investors were deceived by artificial trading volume and price manipulation. The Securities and Exchange Commission (SEC) filed fraud charges against three companies and nine individuals for engaging in…
Read MoreSEC Charges Hacker for Insider Trading on Stolen Earnings Data
A U.K. citizen used sophisticated technology to hide his identity. The U.S. Securities and Exchange Commission (SEC) has charged a U.K. citizen for hacking into the computer systems…
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SEC Fines Keurig $1.5 Million For False Recyclability Claims
The company violated the Securities Exchange Act of 1934 regarding the provision of information to investors. Securities and Exchange Commission (SEC) announced that a settlement had been reached…
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Stock Markets Correct After Global Plunge
U.S. employment and manufacturing numbers contributed to global market instability on Monday. The U.S. stock market experienced a sharp decline on Monday amid a global market selloff. The…
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Senate Committee Finds SEC and CFTC Oversight of AI Lacking
Their report calls for new standards to mitigate potential harms from machine learning in trading. The Senate Homeland Security and Governmental Affairs Committee (HSGAC) recently released a report…
Read MoreSenator Calls on Energy Secretary to Resign Due to STOCK Act Violations
Secretary Granholm denied owning individual stocks and delayed disclosing stock sales. Energy Secretary Jennifer Granholm testified before the Senate Energy and Natural Resources Committee this week regarding her…
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SEC Pauses Climate Disclosure Investment Rule
The rule is currently the subject of lawsuits brought by state attorneys general. The Securities and Exchange Commission (SEC) announced that it will pause the implementation of its…
Read MoreSEC Votes to Approve Emissions Disclosure Requirement for Investments
The rule will not apply to small businesses. The Securities and Exchange Commission (SEC) voted to pass a new climate disclosure rule for large and medium-sized companies offering…
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