All SEC articles
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News BriefSEC’s Uyeda: ‘Enforcement is the wrong way’ to handle off-channel communications
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
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ArticleSEC and CFTC issue final guidance for cryptocurrency
The U.S. Securities and Exchange Commission and the Commodities Futures Trading Commission have released an official interpretation of how federal laws will apply to cryptocurrencies and their transactions.
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ArticleSEC gets ball rolling on ending quarterly reporting, as investors urge caution
Disclosure requirements for public companies have ballooned over the decades and need to be reigned in, the three members of the Securities and Exchange Commission (SEC), said Thursday.
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ArticleSEC enforcement priorities revert back to basics
Recent pronouncements made by the U.S. Securities and Exchange Commission leadership, alongside the recent overhaul of the SEC Enforcement Manual, collectively signal a back-to-basics enforcement approach that appears beneficial for companies in their dealings with the agency.
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ArticleBroker-dealer Canaccord pays $80M to FinCEN, admits to willful BSA violations
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
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News BriefEY compliance partner leaves after independence failings prompt regulatory investigation
Four senior partners at Big Four accountancy firm Ernst & Young, including a leader in the firm’s compliance function, have left the company because of spiralling repercussions from a costly compliance failure.
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ArticleFormer ADM execs inflated operating profits, SEC alleges
Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
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ArticleSEC closes FCPA probe into Calavo Growers
The Securities and Exchange Commission has closed its Foreign Corrupt Practices Act investigation into Calavo Growers, three months after the Department of Justice closed its FCPA investigation into the produce and agriculture company.
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ArticleSEC drops all charges against former Rio Tinto CFO related to coal valuation
The U.S. Securities and Exchange Commission dropped its case against Rio Tinto’s former chief financial officer, who has battled charges for eight years.
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ArticleTop Ethics and Compliance Failures of 2025
The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright malfeasance and greed, greed, greed, that it was almost impossible to choose just six epic compliance failures from this year’s massive poop pile.
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News BriefSEC exam priorities for 2026 signal heightened focus on firmwide compliance
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
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News BriefSEC dismisses SolarWinds case tied to 2020 cyberattack
The dismissal of charges against SolarWinds for alleged cybersecurity lapses related to a 2020 Russian cyberattack in 2020 are the latest in a continuing pattern of leniency for corporations by the Trump administration.
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PremiumPart Two: FCPA cases closed by DOJ, SEC since January
Since the start of the Trump Administration, the Department of Justice has been winding down a number of Foreign Corrupt Practices Act investigations with little public attention. This second article further explores how and why these FCPA matters have been closed.
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PremiumPart One: A case-by-case analysis of FCPA investigation closures
Foreign corruption enforcement relating to national security matters has been a common theme under the Trump administration. A second common theme continues to be the discrete way in which the DOJ has ended several FCPA investigations.
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ArticleDOJ dismisses indictment against Cassava advisor amid legal flaws
The DOJ dropped a June 2024 indictment against a Cassava Sciences advisor, closing a case tied to an alleged short-selling scheme and related government probes. The case was criticized for fundamental flaws in evidence and legal procedures.
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ArticleFINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
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ArticleCompliance should protect firms from AI-washing investigations and insurance claims
Insurance firms are warning that AI-washing could trigger a slew of cases against directors, and are adjusting their directors’ and officers’ liability premiums accordingly. With regulators cracking down on AI-washing, compliance could be a crucial line of defense and save companies on their insurance costs.
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ArticleNavigate SEC cautiously during shutdown, experts advise
The U.S. government shutdown has brought most operations at the Securities and Exchange Commission (SEC) to a screeching halt, but that doesn’t mean compliance teams should be taking a breather, experts advised.
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OpinionThe CFO, AI, and the New Compliance Frontier
As CFOs use AI to streamline operations, they face new compliance risks tied to accountability and algorithmic governance. CCOs must work with them to ensure transparency and oversight throughout adoption.
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News BriefBinance’s Changpeng Zhao receives presidential pardon from Trump
The founder of crypto exchange Binance, Changpeng Zhao, received a pardon from President Donald Trump. This pardon comes almost two years after Zhao signed a plea agreement and was sentenced to a four-month prison sentence.