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Commissioner Hester Peirce will lead new crypto task force at SEC
Appointment of figure dubbed Crypto Mom to key role prompts excitement.
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SEC whips out final orders for violations grounded in supervisory, oversight lapses
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.
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Mark Uyeda appointed SEC interim chair
SEC Commissioner Mark T Uyeda has been asked to take interim charge of the agency by President Donald Trump.
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GRIP Extra: DoJ settles with American Express, Supreme Court upholds TikTok ban
Other news includes a host of CFPB settlements, an OCC fine against former Wells Fargo execs, and a massive fine against Toyota for emission reporting deception.
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Hotel asset manager settles with SEC over cyber breach misreporting
The charges reflect the SEC’s sustained focus on accurate cybersecurity statements.
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SEC charges Navy Capital with misrepresenting AML processes to investors
The SEC said the company represented to private fund investors that the firm was voluntarily complying with AML due diligence laws despite actual processes for same being used.
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SEC sues Musk over untimely beneficial ownership disclosure during Twitter stock buys
The 11th-hour lawsuit accused Musk of failing to disclose his stake in Twitter in a timely manner as he attempted to buy the company in 2022.
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SEC still live and kicking as 12 firms fined combined $63m+ in recordkeeping failure charges
Each firm used unapproved communication methods, or off-channel communications, to send and receive messages that were required to be maintained under the securities laws, the SEC said.