A broker-dealer settled FINRA charges for failing to disclose unsatisfied tax liens and judgments on a number of its registered representatives.
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The U.S. Government Accountability Office urged federal action to address challenges to critical cybersecurity infrastructure.
At a meeting of the Investor Advisory Committee, SEC Chair Gary Gensler and SEC Commissioner Hester Peirce continued their debate on the SEC's approach to crypto regulation.
The SEC charged a former pharmaceutical company CFO, along with his former romantic partner, for trading on the company's stock using insider information.
The SEC amended certain annual reporting and registration forms to implement disclosure requirements under the Holding Foreign Companies Accountable Act. The Act requires the SEC to determine whether a registered issuer has engaged an accounting firm in a foreign jurisdiction that the Public Company Accounting Oversight Board is not able to inspect.