The SEC has settled with Vale SA for deceptive ESG-related disclosures, requiring it to pay $55.9 million in penalties and pre-judgment interest.
The SEC has charged Miles Guo and William Je with conducting unregistered and fraudulent offerings that raised over $850 million, misappropriating the funds to enrich themselves and their family members.
The SEC has proposed a new regulation that would require broker-dealers, investment companies, registered investment advisers, and transfer agents to notify affected individuals of security breaches that put their personal financial data at risk.
The SEC proposed amendments to Regulation SCI to expand and update the set of rules to protect the core technology of key U.S. securities markets entities and ensure their capacity, integrity, resiliency, availability, and security.
The SEC proposed new requirements for Market Entities to address their cybersecurity risks, improve transparency, and help protect investors and orderly markets.
The SEC has charged ex-investment adviser Darryl Matthew Cohen with misappropriating more than $1 million from three current and former NBA players.
The SEC has released staff guidance to address questions about Forms MA, MA-I, and MA-NR in order to make the municipal advisor registration process transparent and efficient.