A federal judge has imposed sanctions on the Securities and Exchange Commission in a case involving a Utah-based cryptocurrency company, according to Reuters. Last July, the SEC petitioned for a temporary restraining order and an asset freeze against blockchain...
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Securities and Compliance
SEC investigating investment advisory firms over off-channel communications
The Securities and Exchange Commission is expanding its scrutiny of violations involving off-channel communications, according to a ThinkAdvisor report. To date, the commission has levied over $3 billion in fines as part of its enforcement actions over recordkeeping...
New SEC climate-disclosure rules temporarily halted by appeals court
The Securities and Exchange Commission's new rules requiring climate-related disclosures by public companies are on hold for now due to a legal challenge, according to the Wall Street Journal. Oil-field-services companies Liberty Energy and Nomad Proppant Services...
SEC adopts rules to enhance climate-related disclosures by firms
The Securities and Exchange Commission announced that it has adopted new rules requiring public companies to disclose certain climate-related information to investors. The SEC said it was taking the action to enhance and standardize these disclosures as a way to...
SEC committee holds meeting on equity market structure, use of materiality
The Securities and Exchange Commission announced details of a public meeting being held by its Investor Advisory Committee today. The committee focuses on investor-related interests. It advises the SEC on regulatory priorities and various initiatives to help protect...