Security 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 Publicly Traded Company with Insider Trading (March 2023): The SEC charged the former CEO of a publicly traded company with insider trading for allegedly using confidential information to trade in the company's stock.
- 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 Broker-Dealer with Violating Anti-Money Laundering Rules (January 2023): The SEC charged a broker-dealer with violating anti-money laundering rules by failing to report suspicious transactions and maintain adequate anti-money laundering programs.
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 and benefits.
Investor Alerts and Bulletins
- SEC Warns Investors about Cryptocurrency Investment Scams (March 2023): The SEC warned investors about cryptocurrency investment scams and fraudulent schemes that promise unusually high returns.
- SEC Warns Investors about Investment Scams Targeting Seniors (February 2023): The SEC warned investors about investment scams that target seniors, including fraudulent schemes that promise unusually high returns or guaranteed investment returns.
- SEC Warns Investors about Online Trading Platforms (January 2023): The SEC warned investors about online trading platforms that may be unregistered or unlicensed, and may engage in fraudulent activities.
Other News
- SEC Announces New Cybersecurity Unit (March 2023): The SEC announced the creation of a new cybersecurity unit to focus on investigating and prosecuting cybersecurity-related fraud and misconduct.
- SEC Announces New Office of the Whistleblower (February 2023): The SEC announced the creation of a new office of the whistleblower to handle whistleblower tips and complaints.
- SEC Announces New Initiative to Enhance Diversity and Inclusion (January 2023): The SEC announced a new initiative to enhance diversity and inclusion in the financial industry, including efforts to increase diversity on corporate boards and in senior leadership positions.
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 the SEC's website or subscribing to their email newsletter.