Securities and Exchange Commission | Investment Executive Canada's news source for financial professionals Mon, 20 Apr 2026 19:18:09 +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 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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]]> ATS sanctioned over trade info leakage https://old.investmentexecutive.com/news/ats-sanctioned-over-trade-info-leakage/ Wed, 15 Apr 2026 17:51:13 +0000 https://www.investmentexecutive.com/?p=536369 Tribunal approved OSC's settlement with Liquidnet Canada

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]]> SEC gives crypto firms guidance on wallets https://old.investmentexecutive.com/news/sec-gives-crypto-firms-guidance-on-wallets/ Mon, 13 Apr 2026 20:46:13 +0000 https://www.investmentexecutive.com/?p=536187 Regulator details how firms can avoid triggering registration

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]]> For whistleblowers, it matters who knocks first https://old.investmentexecutive.com/news/for-whistleblowers-it-matters-who-knocks-first/ Mon, 13 Apr 2026 13:28:12 +0000 https://www.investmentexecutive.com/?p=536105 Tipster denied payout after first alerting media, prompting SEC investigation

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]]> Ontario tribunal bans B.C. man under U.S. sanctions https://old.investmentexecutive.com/news/ontario-tribunal-bans-b-c-man-under-u-s-sanctions/ Thu, 09 Apr 2026 18:32:47 +0000 https://www.investmentexecutive.com/?p=535905 SEC alleged Canadian involved in penny stock pump-and-dump scheme

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]]> SEC names new enforcement chief https://old.investmentexecutive.com/news/sec-names-new-enforcement-chief/ Thu, 09 Apr 2026 14:31:22 +0000 https://www.investmentexecutive.com/?p=535875 Former SEC attorney, accountant to lead agency's enforcement shift

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