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SEC extends compliance dates for two rules related to clearing US Treasuries
SEC move aims to help firms fine-tune their policies and procedures.
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Uyeda signals new approach to retail investment in private companies
Acting chair said SEC’s mission is to facilitate capital formation, while protecting investors and maintaining fair and efficient markets.
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Avast customers whose data was allegedly unlawfully sold to be compensated
The FTC is sending claim forms to users who bought antivirus software that captured their sensitive information.
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Facing the challenge of financial crime in an unstable world
The latest State of Financial Crime report’s findings are based on a global survey of 600 senior financial crime decision-makers.
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Final judgements for Ponzi scheme defendants Robert Allen Stanford and others
Final judgments in this action were against individuals and entities charged with perpetrating a massive $8 billion Ponzi scheme.
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SEC plans to cut regional office directors as part of cost scrutiny
The SEC is poised to eliminate directors across 10 regional offices, sources say.
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FINRA disciplinary action update 2025/7
Disciplinary decisions issued February 15 –21, 2025.
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SEC has new Cyber and Emerging Technologies Unit, targets priority areas
The new unit will harness fintech and cyber-related experience to combat misconduct as it relates to certain securities transactions.