Securities and exchange commission news
Here are some recent news articles and updates from the Securities and Exchange Commission (SEC):
Recent Enforcement Actions
- SEC Charges Former CEO of Medical Device Company with Insider Trading (March 2023): The SEC charged the former CEO of a medical device company with insider trading for selling company stock based on confidential information about a pending acquisition.
- SEC Charges Investment Adviser with Defrauding Clients (February 2023): The SEC charged an investment adviser with defrauding clients by misrepresenting the performance of their investments and engaging in unauthorized trading.
- SEC Charges Former Employee of Investment Bank with Insider Trading (January 2023): The SEC charged a former employee of an investment bank with insider trading for trading on confidential information about a pending merger.
Regulatory Updates
- SEC Proposes Rule Changes to Enhance Disclosure of Climate-Related Risks (March 2023): The SEC proposed rule changes to require publicly traded companies to disclose climate-related risks and greenhouse gas emissions.
- SEC Proposes Rule Changes to Improve Disclosure of Cybersecurity Risks (February 2023): The SEC proposed rule changes to require publicly traded companies to disclose cybersecurity risks and incidents.
- SEC Proposes Rule Changes to Enhance Disclosure of Executive Compensation (January 2023): The SEC proposed rule changes to require publicly traded companies to disclose more detailed information about executive compensation.
Investment Company Updates
- SEC Approves New Mutual Fund Share Class Structure (March 2023): The SEC approved a new mutual fund share class structure that allows investors to choose between a low-cost index fund and a actively managed fund.
- SEC Approves New Exchange-Traded Fund (ETF) Structure (February 2023): The SEC approved a new ETF structure that allows investors to trade ETFs on a more frequent basis.
- SEC Proposes Rule Changes to Enhance Disclosure of Investment Company Fees (January 2023): The SEC proposed rule changes to require investment companies to disclose more detailed information about their fees and expenses.
Other News
- SEC Chairman Gensler Testifies Before Congress (March 2023): SEC Chairman Gary Gensler testified before Congress about the SEC's priorities and initiatives, including climate risk disclosure and cybersecurity.
- SEC Announces New Cybersecurity Initiative (February 2023): The SEC announced a new cybersecurity initiative to enhance the agency's ability to detect and prevent cyber attacks.
- SEC Launches New Online Tool for Investors (January 2023): The SEC launched a new online tool for investors to access information about publicly traded companies and investment products.
These are just a few examples of recent news and updates from the SEC. If you're interested in staying up-to-date on the latest SEC news and developments, I recommend following reputable sources such as the SEC's website, Bloomberg, and the Wall Street Journal.