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The SEC can bring a civil action in a U.S. District Court, or an administrative proceeding which is heard by an independent administrative law judge (ALJ). The SEC does not have criminal authority, but may refer matters to state and federal prosecutors. The director of the SEC's Enforcement Division Robert Khuzami left the office in February ...
[159] [160] [161] In May 2022, the SEC proposed two rules changes to ESG investment fund qualifications to prevent greenwashing marketing practices and to increase disclosure requirements for achieving ESG effects. [list 2] In October 2022, the SEC announced that it would re-open the public comment window for the ESG disclosure rules proposal ...
Research by economists found that unpredictable SEC enforcement actions under Gensler, classifying cryptocurrencies as securities without clear guidelines, caused prolonged destabilization in crypto markets. [64] Unclear guidelines raise doubts about the agency's ability to maintain fair and orderly markets. SEC and Cypersecurity Risk
The rise of environmental, social and governance (ESG) funds is now drawing the attention of the Securities Exchange Commission (SEC) just as the topic became one of the most searched financial ...
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The U.S.-based company was sued by the SEC twice in 2023, although it settled the first enforcement action. ... Kraken became one of the first recipients of a new wave of SEC enforcement actions.
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