SEC
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Mark-to-Market Accounting Echoes Enron Scandal Risks
WASHINGTON, July 21 — Mark-to-market accounting, the practice of valuing assets and liabilities at current market prices, remains…
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SEC Formed In 1934 Enforces Disclosure Rules Under Depression-Era Statutes
WASHINGTON, July 18 — The United States Securities and Exchange Commission is a creature of crisis. Formed in…
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SEC Crackdown Ends Foreign Microcap IPOs in US Markets
NEW YORK, July 17 — The pipeline of small foreign companies listing on U.S. exchanges has all but…
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Record 140 Microcap IPOs Raise $1.6B, Then Collapse in 2025
NEW YORK, July 17 — A record-setting wave of tiny foreign companies hit US stock exchanges in 2025,…
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Nasdaq, FINRA Join SEC to Tighten Small Foreign Firm Rules
NEW YORK, July 17 — The flood of foreign microcap initial public offerings that had alarmed regulators just…
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SEC Cites Social Media Promotions in Trading Suspensions
WASHINGTON, July 17 — The Securities and Exchange Commission has suspended trading in more than a dozen foreign…
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U.S. Charges Adani with Fraud, Corruption in India Deals
NEW DELHI, July 16 — Federal prosecutors in the United States have unsealed criminal and civil cases against…
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Giuffra’s Dual Roles Draw Scrutiny Over $10B Adani Proposal
WASHINGTON — The dual role of Robert J. Giuffra Jr. as both personal lawyer to President Donald Trump…
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SEC Marks 90 Years Safeguarding Investors Since Great Depression
WASHINGTON, July 14 — The Securities and Exchange Commission was born from ruin. The 1929 stock market crash…
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1929 Crash and New Deal: How SEC and Modern Regulation Were Born
WASHINGTON, July 10 — On the floor of the New York Stock Exchange, the scene on Black Thursday,…
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“$3.5 Million Theft Exposes Gaps in Investment Adviser Safeguards”
WASHINGTON, July 8 — A $3.5 million theft case involving an investment adviser is a stark reminder that…
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Joseph P. Kennedy regulated Wall Street as first SEC chair in 1934
BOSTON, July 8 — The scene is a familiar one in American political lore: a father’s ambition, a…
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SEC’s Birth from 1929 Crash: Regulation’s Impact on US Markets
WASHINGTON, July 8 — The Securities and Exchange Commission, the federal agency tasked with policing Wall Street, was…
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Market Regulatory Responses Loom Amid Correction Fears
WASHINGTON, July 6 — A confidential Treasury Department report is quietly making the rounds inside the federal government,…
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Morgan Stanley Faces $200 Million in Regulatory Penalties Suddenly
Regulatory actions announced on September 30, 2022, imposed $200 million in fines on Morgan Stanley, with the Securities…
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SEC Proposes Climate Cost Disclosure Rules
For the first time, the federal government is demanding that public companies put a dollar figure on what…
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SEC Proposes New Rules for Climate Risk Disclosure Requirements
On March 21, 2022, the Securities and Exchange Commission voted 3‑1 to put forward a rule‑making initiative that…
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Philippine SEC Revokes Robocash License Over Unauthorized Expansion
The Securities and Exchange Commission of the Philippines revoked the operating license of Robocash Finance Corporation on December…
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