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SEC Seeks Info on Digital Engagement by Investment Advisors, Brokers
Finance
SEC Seeks Info on Digital Engagement by Investment Advisors, Brokers
2021-08-30 17:50:33
by Dan McCue

WASHINGTON - The Securities and Exchange Commission is seeking information from the public and industry professionals on the digital engagement practices of investment advisors and brokers. These tools include behavioral prompts, differential marketing, game-like features (also known as gamification) and... Read More

Mandating Climate Disclosures Could Violate SEC's 'Historically Agnostic Approach'
Finance
Mandating Climate Disclosures Could Violate SEC's 'Historically Agnostic Approach'
2021-07-21 20:28:30
by Daniel Mollenkamp

WASHINGTON- Writing rules that mandate climate disclosures might overstep the U.S. Securities and Exchange Commission's  authority, causing a violation of their historical approach to regulations, the agency's commissioner said on Tuesday.  Environmental disclosures are "inherently political" and are "unabashedly" designed... Read More

SEC Approves Rule That Could Expose Short-Sell Positions
Finance
SEC Approves Rule That Could Expose Short-Sell Positions
2021-06-22 19:11:25
by Victoria Turner

WASHINGTON - The U.S. Securities Exchange Commission granted the accelerated approval yesterday of a rule change proposed by the National Securities Clearing Corporation related to its calculation and collection of supplemental liquidity deposits. The change would have both activities performed... Read More

Supreme Court Holds SEC Can Recoup Money in Fraud Cases
Finance
Supreme Court Holds SEC Can Recoup Money in Fraud Cases
2020-06-22 16:45:01
by Dan McCue

WASHINGTON - With decisions in several high profile cases pending -- including one on whether President Donald Trump can shield his financial records from Congressional scrutiny --  the U.S. Supreme court on Monday opted to rule on a case with... Read More

Supreme Court To Review SEC’s Right To Seek Disgorgement
Supreme Court
Supreme Court To Review SEC’s Right To Seek Disgorgement
2019-11-01 20:47:08
by Dan McCue

WASHINGTON - The Supreme Court agreed Friday to hear a case challenging the U.S. Securities and Exchange Commission’s authority to seek disgorgement in fraud cases. Last year federal regulators recouped $2.5 billion in ill-gotten proceeds from securities fraud. But on... Read More

Democrats Seek Insider Trading Probe After ‘Trump Chaos’ Article
Finance
Democrats Seek Insider Trading Probe After ‘Trump Chaos’ Article

WASHINGTON — Democratic lawmakers are increasingly demanding that U.S. authorities investigate allegations raised in a recent magazine article that traders might be using nonpublic government information to reap huge illegal profits, even as the exchange where the transactions purportedly took... Read More

Gottheimer Amendment to Help Senior Investors Passes House
Finance
Gottheimer Amendment to Help Senior Investors Passes House
2019-10-18 21:23:06
by Dan McCue

WASHINGTON - The House has passed an amendment offered on the floor by Rep. Josh Gottheimer that will ensure the U.S. Securities and Exchange Commission gives specific consideration to senior investors and the challenges they face. The amendment to H.R.... Read More

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