Securities and Exchange Commission (SEC) - News, Articles & Research

SEC slaps Oracle with $23m fine for alleged bribery

The Securities and Exchange Commission (SEC) has announced settled charges requiring Oracle to pay $23 million, following the company’s violation of provisions in the Foreign Corrupt Practices Act (FCPA).

28 September 2022

News/security

Morgan Stanley hit with $35m penalty for device disposal failings

Morgan Stanley Smith Barney (MSSB) has been slapped with a $35 million penalty for failing to protect the personal identifying information (PII) of about 15 million customers.

20 September 2022

News/crypto

SEC guidelines disrupt banks' cryptocurrency projects

New accounting guidance from the US Securities and Exchange Commission (SEC) has thrown a spanner in banks’ cryptocurrency projects.

16 September 2022

News/regulation

SEC charges three with insider trading connected to Equifax data breach

The Securities and Exchange Commission has charged three people with illegally tipping and trading in the securities of Equifax in advance of the firm's announcement about a massive 2017 data breach.

17 August 2022

News/regulation

SEC investigates Coinbase over securities - Bloomberg

The US Securities and Exchange Commission (SEC) has launched an investigation into whether Coinbase let customers trade digital assets that should have been registered as securities, according to Bloomberg.

26 July 2022

News/regulation

Insider trading case revives tussle between SEC and Coinbase over securities

Coinbase has hit out at the SEC after the regulator insisted that some of the crypto assets involved in an alleged insider trading scheme involving a former employee of the firm were securities.

22 July 2022

News/regulation

Charles Schwab pays $187m to settle SEC robo-advisor charges

Subsidiaries of Charles Schwab have agreed to pay $187 million to settle SEC charges that they misled clients about fees for the broker's robo-advisor product.

14 June 2022

Company announcement/regulation

SEC updates electronic filing requirements

The Securities and Exchange Commission today announced that it adopted amendments to require certain forms that currently are permitted to be filed or submitted in paper format to be filed or submitted electronically.

03 June 2022

Company announcement/sustainable

SEC charges BNY Mellon over greenwashing

The Securities and Exchange Commission today charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in making investment decisions for certain mutual funds that it managed.

24 May 2022

News/crypto

SEC hires 20 more staff to police crypto markets

The US Securities and Exchange Commission has nearly doubled the size of its crypto market and cyber enforcement unit, growing the team to 50 positions with the addition of 20 new staff.

03 May 2022

Company announcement/sustainable

SEC proposes rules on climate-related disclosures

The Securities and Exchange Commission today proposed rule changes that would require registrants to include certain climate-related disclosures in their registration statements and periodic reports, including information about climate-related risks that are reasonably likely to have a material impact on their business, results of operations, or financial condition, and certain climate-related financial statement metrics in a note to their audited financial statements.

22 March 2022

Company announcement/security

SEC poposes new cybersecurity disclosure rules

The Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies.

09 March 2022