Social Media Ideas for Sec Enforcement

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC Targets Former Linqto Executives in Pre-IPO Retail Access Fraud Case

The SEC has brought a closely watched enforcement action against former Linqto executives William Sarris and Joseph Endoso, alleging they misled thousands of retail investors who u...

SEC Charges 38 Alleged Scammers of False Filings to Lure Retail Investors

The SEC worked with an FBI task force to identify and remove filings of 38 foreign “entities” allegedly posing as legitimate advisory firms.

SEC Charges 38 Entities Over False Investment Adviser Filings

The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers. The agency’s acti...

SEC Charges 38 Entities Over False Investment Adviser Filings

The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers. The agency’s acti...

SEC Charges 38 Entities Over False Investment Adviser Filings

The SEC has charged 38 entities for allegedly using false filings to make themselves appear legitimate as registered investment advisers, putting regulatory ...

SEC Seeks Court Order for ISS Client Data Sought in ESG Probe

The Securities and Exchange Commission asked a federal court for an order compelling Institutional Shareholder Services Inc. to turn over detailed client-level voting data requeste...

SEBI proposes mandatory monitoring agency for all public issues, ₹50,000 fine for non-cooperation

The proposed changes also allow direct reporting to stock exchanges and introduce graded enforcement, including possible freezing of promoters’ demat accounts.

SEC and FDA Sign Memorandum of Understanding Formalizing Cross-Agency Information Sharing

SEC Settles With Canadian Broker Over Alleged AML Failures

The SEC claimed Haywood USA failed to file required suspicious activity reports and didn't investigate red flags tied to accounts involving a convicted criminal and a banker.

SEC and FDA sign 3-year market integrity pact

The SEC and FDA signed a three-year agreement to share nonpublic information involving public companies and FDA-regulated products.

SEC Alleges Man Defrauded Law Enforcement Members In South Florida Scheme

The SEC accused Michael Williams of misleading investors with fake trading profits for managed funds while spending the money on luxury cars, jewelry and vacations.

SEC initiates admin proceedings against NewAge

Through an order dated September 4th, the SEC has initiated administrative proceedings against NewAge Inc. The stated reason for the SEC’s proceedings is “delinquent filings”. NewA...

United States: Open (Hand)book for SEC Exams: A Useful Tool for the Uninitiated

A call from the Staff at the Division of Examinations (Exams) of the Securities and Exchange Commission (SEC or the Commission) notifying a registrant of an exam has long induced u...

Enhanced FDA-SEC Collaboration: How Life Sciences Companies Think About Disclosure, Insider Trading, and Prediction Mark...

SEC sues 38 entities over fake adviser filings

The SEC sued 38 entities accused of using false adviser filings, nonexistent auditors and fake certificates to appear legitimate to investors.

New Bets, New Risks: Prediction Markets Raise the Stakes for Corporate Compliance

Key Updates The Department of Justice (DOJ) and Commodity Futures Trading Commission (CFTC) have begun bringing parallel criminal and civil actions against individuals accused of...

SEC Issues New Interpretive Guidance on Pre-IPO Equity Awards and Registration on Form S-8

Market participants weigh in on SEC’s proposed crypto regulations

The financial agency is scheduled to close public comments on its ‘Regulation Crypto Assets’ proposed in August.The US Securities and Exchange Commission (SEC) is set to move forwa...

FDA and SEC Enter MOU to Establish Information Sharing Framework

SEC Alleges $16 Million Ponzi Scheme in New Enforcement Docket

The SEC has added a notable alleged fraud case to its recent enforcement lineup, charging a founder and two New Jersey-based companies in what the agency says was a $16 million Pon...

Regulation crypto assets: What issuers need to know

The SEC’s proposed Regulation Crypto Assets (Reg CA) would create new exemptions for crypto-asset fundraising and a safe harbor for certain investment contracts. While the framewor...

SEC Alleges $16 Million Ponzi Scheme in New Enforcement Docket

The SEC has added a notable alleged fraud case to its recent enforcement lineup, charging a founder and two New Jersey-based companies in what the agency says was a $16 million Pon...

United States- SEC Moves to Open Private Markets to Retail Investors

On 30 September 2026, the SEC proposed rule amendments advancing Chairman Paul S. Atkins’ “responsible retailization” of private markets, expanding retail access to private-market...