Live Breaking News & Updates on Sec enforcement

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SEC subpoenas fund managers over ESG investing

Lawyers from the Securities and Exchange Commission have reportedly sent document requests and subpoenaed several asset managers related to ESG marketing.

Washington , United-states , Michael-piwowar , Joe-biden , Exchange-commission , Milken-institute , Goldman-sachs , President-joe-biden , Washington-examiner , Sec-enforcement , Business , Climate-funds

SEC sues Coinbase | Financial Planning

The case in unusual because of Coinbase's high profile in the U.S. and status as a publicly traded company.

New-york-stock-exchange , New-york , United-states , America , Bloomberg-david-westin , Gary-gensler , Changpeng-zhao , Omid-malekan , Ashok-ayyar , Paul-grewal , Brian-armstrong , York-stock-exchange

Crafting an annual compliance calendar for a solo RIA

The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.

United-states , New-york , Nebraska , American , American-securities-administrators-association , Investment-advisers-act , Model-rules , Investment-advisor-representatives , Investment-adviser-registration-directory , Regulatory-assets-under-management , Investment-advisor-written-policies

Market responding to limited offering exemption enforcement

The SEC recently brought its first ever enforcement actions for violating its limited offering exemption, and market participants are beginning to tighten up their policies and procedures in response.

Hillary-phelps , Oppenheimer-co , Exchange-commission , Securities-disclosure-conference , Ann-gaunt , Leeann-gaunt , Public-finance-abuse-unit , Exchange-act , Washington-dc , Sec , Sec-enforcement ,

Study finds companies distract from bad news with unrelated news

A study found that when a company has bad news, it issues unrelated press releases on the same day it files with the SEC.

Jessica-watkins , Exchange-commission , Companies-do , University-of-notre-dame , Notre-dame-mendoza-college-of-business , Nuance-communications-inc , Notre-dame , Nuance-communications , Mendoza-college , Sec , Sec-enforcement , Crisis-management

SEC's Gensler blasts hedge fund fees as agency readies rules

The Securities and Exchange Commission plows ahead with plans to boost oversight of the private fund industry.

Bryan-corbett , Hester-peirce , Gary-gensler , Exchange-commission , Plaza-hotel , Funds-association , Wall-street , Managed-funds-association , Sec , Sec-enforcement , Hedge-funds , Industry-news

SEC steps up accounting and auditing enforcement

Enforcement actions increased 55% in 2022, although total monetary settlements were down more than 60%.

Washington , United-states , Gary-gensler , Erica-williams , Joshua-roberts-bloomberg , Brad-wilson , Elaine-harwood , Jay-clayton , Simona-mola , Alison-forman , Public-company-accounting-oversight-board , Cornerstone-research

SEC settles with one of the seven charged with defrauding Puerto Rico city

The Commission has settled with Roberto Mejill-Tellado for acting as an unregistered broker in the scheme that defrauded the city of Mayaguez, Puerto Rico.

Puerto-rico , Joseph-kirkland , Arnaldoj-irizarry , Eugenio-garc , Alejandro-riera-fern , Stephen-kirkland , Roberto-mejill-tellado , Department-of-justice , Exchange-commission , Mayaguez-economic-development-inc , Union-banc-investment-services , Steve-minger

Keybanc dinged by SEC for violating limited offering exemption

The Ohio-based was underwriter on 47 limited offerings, violating the Commission's limited offering exemption.

Exchange-commission , Exchange-act-rule , Keybanc-capital-markets , Municipal-securities-rulemaking-board-rule , Preliminary-official-statement , Final-official-statement , Exchange-act , Banc-capital-markets , Washington-dc , Msrb-rules , Sec-enforcement

Mormon Church, investment manager pay $5 million to settle SEC probe

The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.

Gurbir-grewal , Jesus-christ , Exchange-commission , Mormon-church , Microsoft , Latter-day-saints , Ensign-peak-advisers , Ensign-peak , Wall-street-journal , Regulation-and-compliance , Industry-news , Sec