Tag Archives: Securities and Exchange Commission

Washington, D.C.–(Newsfile Corp. – August 14, 2026) – The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly provided retail investors an opportunity to invest …

Washington, D.C.–(Newsfile Corp. – May 18, 2026) – The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the defendant …

Washington, D.C.–(Newsfile Corp. – May 6, 2026) – The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit profits. According to the SEC’s complaint, …

Washington, D.C.–(Newsfile Corp. – April 7, 2026) – The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025. Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission resources. Regrettably, such resources have been misapplied …

Washington, D.C.–(Newsfile Corp. – April 2, 2026) – The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m. to 3:15 …

Washington, D.C.–(Newsfile Corp. – March 27, 2026) – The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act of 1934 to allow for the …

Washington, D.C.–(Newsfile Corp. – March 17, 2026) – The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered offerings, corporate bond offerings, Regulation A offerings, …

Sam Waldon named Acting Enforcement Division Director Washington, D.C.–(Newsfile Corp. – March 16, 2026) – The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of …

Washington, D.C.–(Newsfile Corp. – March 16, 2026) – The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in, securities in the over-the-counter (OTC) market. Since …

Washington, D.C.–(Newsfile Corp. – March 11, 2026) – The Securities and Exchange Commission and the Commodity Futures Trading Commission today announced that they have entered into a Memorandum of Understanding (MOU) to guide coordination and collaboration between the two agencies to support lawful innovation, uphold market integrity, and ensure investor …