SEC Actions

In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...

Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule

The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...

SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...

Steven Pagartanis was a registered representative associated with broker-dealers registered with the Commission. Pagartanis, 60 years old, is a resident of East Setauket, New York ...

During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...

The Director of the Division of Examinations is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national securities associations, clearing agencies, ...

B-Ds that conduct a substantial securities business and thus are in a position to potentially pose significant risk to investors and to the fair, orderly, ...

At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...

New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...