SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
From Tom Brady to Shaq, FTX's Celebrity Promoters May Be On the Hook for Damages
By Zijia Song and Joe SchneiderThe stars' wealth makes them a juicy target for investors looking to recover some losses from the bankrupt cryptocurrency exchange.
November 18, 2022
SEC Orders Public Proceedings Over 'Misleading' Crypto OfferingsThe SEC is considering whether to suspend the registration of American CryptoFed DAO's Ducat and Locke tokens.
November 18, 2022
Ex-J.P. Morgan Broker Barred by FINRA After Multiple Trading ViolationsEdward L. Turley was discharged by the firm and then refused to provide testimony during a FINRA investigation.
November 15, 2022
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying TaxesJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 15, 2022
SEC Enforcement Actions Brought in Record $6.4 Billion in 2022The number of enforcement actions jumped 9% from 2021.
November 15, 2022
Reg BI Remains Top Priority for 2023 ExamsAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
November 14, 2022
SEC Fines S&P Global Ratings $2.5M Over Conflicts of InterestSales and marketing considerations improperly influenced the rating of a mortgage-related transaction, the SEC said.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.