The SEC fined Zoe Financial $450,000 for failing to disclose a conflict of interest related to its Zoe Wealth platform for nearly two years, violating the Advisers Act.
SEC filings reveal how insider trading information about the Y-mAbs acquisition traveled through an extended family, leading to $34,244.86 in illicit profits.
The SEC has charged CMI Capital and Michael D. Williams with defrauding 18 investors, many law enforcement officers, of $860,000 through false statements.
The SEC censured OTC Link LLC with a cease-and-desist order and a $575,000 civil penalty for repeated Regulation SCI failures from August 2016 through March 2025.
The SEC has initiated Section 12(j) administrative proceedings against seven companies for delinquent periodic filings, including Reelcause, Santa Fe Gold Corp., and Zerify, Inc.
The SEC has opened a comment period for NYSE Arca and NYSE American proposals to list binary KPI options, which would settle based on issuer-reported financial and operating metrics.
The SEC has issued a five-year Innovation Exemption allowing Tokenized Securities Venues to trade tokenized NMS stocks under specific conditions until September 17, 2031.
The SEC proposed rescinding Rule 14a-8, removing the federal path for shareholder proposals and giving companies more discretion over proxy voting, while cutting a broker-search window by 75%.
SEC Chairman Paul S. Atkins outlined a unified U.S. regulatory framework for digital assets at the Solana Policy Institute Summit, connecting Project Crypto, the CLARITY Act, and custody rules.
The SEC has charged Ernest Ossei Boateng and two companies with operating a $16 million Ponzi scheme, allegedly diverting funds for personal expenses and earlier investor payments.
