Securities and Exchange Commission | Investment Executive Canada's news source for financial professionals Tue, 28 Apr 2026 15:38:52 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://old.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission | Investment Executive 32 32 U.S. court orders sanctions in alleged Ponzi scheme https://old.investmentexecutive.com/news/u-s-court-orders-sanctions-in-alleged-ponzi-scheme/ Tue, 28 Apr 2026 15:38:52 +0000 https://www.investmentexecutive.com/?p=537339 Perpetrator resorted to payday loans to keep alleged scheme afloat

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]]> SEC alleges private fund manager duped investors https://old.investmentexecutive.com/news/sec-alleges-private-fund-manager-duped-investors/ Mon, 27 Apr 2026 20:18:58 +0000 https://www.investmentexecutive.com/?p=537342 Investors in private equity funds misled, money misused, SEC charges

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]]> Exec of failed U.S. lender charged with fraud https://old.investmentexecutive.com/news/exec-of-failed-u-s-lender-charged-with-fraud/ Fri, 24 Apr 2026 14:02:01 +0000 https://www.investmentexecutive.com/?p=537139 Authorities allege that bridge financing firm was a Ponzi scheme

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]]> SEC secures sanctions against ‘sham’ advisors https://old.investmentexecutive.com/news/sec-secures-sanctions-against-sham-advisors/ Fri, 24 Apr 2026 13:21:44 +0000 https://www.investmentexecutive.com/?p=537110 Firms allegedly made false filings to seem legit to investors

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]]> CSA cuts trading fee cap, but less than expected https://old.investmentexecutive.com/news/csa-cuts-trading-fee-cap-but-less-than-expected/ Thu, 23 Apr 2026 20:40:57 +0000 https://www.investmentexecutive.com/?p=537077 Regulators give exchanges more leeway on inter-listed securities

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]]> SEC, CFTC aim to ease private fund reporting https://old.investmentexecutive.com/news/sec-cftc-aim-to-ease-private-fund-reporting/ Mon, 20 Apr 2026 19:18:09 +0000 https://www.investmentexecutive.com/?p=536732 Regulators seek boost in reporting thresholds to reduce small firm demands

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]]> NYSE seeks approval for tokenized trading https://old.investmentexecutive.com/news/nyse-seeks-approval-for-tokenized-trading/ Mon, 20 Apr 2026 13:36:40 +0000 https://www.investmentexecutive.com/?p=536666 Exchange aims to trade tokenized versions alongside traditional securities

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]]> SEC set to cancel advisory firms’ registrations https://old.investmentexecutive.com/news/sec-set-to-cancel-advisory-firms-registrations/ Fri, 17 Apr 2026 18:38:01 +0000 https://www.investmentexecutive.com/?p=536602 Firms no longer qualify for narrower online advisor exemption

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]]> SEC to explore audit trail reform https://old.investmentexecutive.com/news/sec-to-explore-audit-trail-reform/ Thu, 16 Apr 2026 18:17:42 +0000 https://www.investmentexecutive.com/?p=536486 Regulator looks to rebalance supervisory needs with costs, data privacy

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]]> SEC settles case against alleged fraudster’s estate https://old.investmentexecutive.com/news/sec-settles-case-against-alleged-fraudsters-estate/ Wed, 15 Apr 2026 19:28:35 +0000 https://www.investmentexecutive.com/?p=536379 Alleged scheme ended in double murder-suicide back in 2023

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