U.S. Securities and Exchange Commission

19 articles in the TruthFoundry index. Each links out to the original.

• SEC Seeks Final Judgment Against Ex-Western Asset Co-CIO Ken Leech · SEC moves for consent judgment against former CIO Ken Leech over trade allocation fraud
• SEC announces virtual national compliance seminar for November 2026 · US SEC will host a virtual compliance outreach seminar for investment firms on 19 November 2026.
• U.S. and UK Regulators Hold Joint Exercise on CCP Resolution · Senior U.S. and UK financial officials convened to review joint work on central counterparty resolution.
• SEC Charges Founder Over $16 Million Ponzi Scheme Targeting Ghanaian Christians · The SEC charged Ernest Ossei Boateng and his companies with a $16 million Ponzi scheme targeting vulnerable investors.
• SEC Proposes Rescinding Pay-to-Play Rule for Investment Advisers · The SEC proposes rescinding its 2010 pay-to-play rule for investment advisers due to unintended consequences.
• SEC Investor Advisory Committee to Discuss AI and Market Rules · The SEC Investor Advisory Committee will meet on Sept. 10 to discuss AI technologies and Regulation National Market System rules.
• SEC Proposes Adding European Union Debt to Exempted Securities Rule for Futures · SEC proposes adding EU debt to exempted securities for futures, placing those futures under CFTC jurisdiction.
• SEC charges 38 entities for fraudulent adviser filings used to lure retail investors · SEC charged 38 entities with filing false Forms ADV to pose as legitimate U.S. investment advisers
• SEC Charges Three Former Tricolor Executives With Fraud Tied to $1.9 Billion Collapse · The SEC charged former Tricolor Holdings CEO Daniel Chu, CFO Jerome Kollar, and Senior Director of Finance Ameryn Seibold with fraud in the $1.9 billion subprime auto lender collapse.
• SEC Proposes Regulation Crypto Assets Creating Exemptions and Safe Harbor for Crypto Offerings · The SEC proposed Regulation Crypto Assets, a tailored offering regime with exemptions and a safe harbor for crypto asset investment contracts.
• SEC Charges Andrew Spaventa in $74 Million Pre-IPO Investment Scam · SEC charged Andrew Spaventa and three entities with defrauding 800 investors in a $74 million pre-IPO scheme.
• SEC Charges Three New Jersey Residents in $47 Million Orthodox Jewish Fraud · The SEC charged three New Jersey men with orchestrating a $47 million investment fraud targeting Orthodox Jewish communities.
• SEC Charges Adit Ventures, CEO Eric Munson in Alleged Pre-IPO Fraud · The SEC charged Adit Ventures Management and CEO Eric Munson with defrauding investors in pre-IPO deals.
• SEC creates new Financial Reporting and Accounting enforcement unit · US SEC establishes dedicated enforcement unit for accounting and financial fraud cases.
• SEC announces reconvening of Small Business Advisory Committee August 6 2026 · SEC will reconvene its Small Business Capital Formation Advisory Committee virtually on August 6, 2026.
• SEC Report to Congress Summarizes Small Business Capital Formation Forum · SEC released a report to Congress summarizing recommendations from its 45th Annual Government-Business Forum on Small Business Capital Formation.
• SEC Announces Roundtable on 24-Hour U.S. Equity Trading · The SEC will host a public roundtable on Sept. 17, 2026, to discuss preparations for 24-hour trading in U.S. equity markets.
• SEC Announces Departure of Principal Deputy Director Sam Waldon · The SEC announced Sam Waldon will leave the agency on July 31, 2026, to be succeeded by Osman Nawaz.
• SEC Proposes Default Electronic Delivery for Investor Disclosures · The SEC proposed Regulation E-Delivery to make electronic disclosure the default for investors while preserving paper options.