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The U.S. Securities and Exchange Commission is preparing to resolve a two-year probe into allegations of greenwashing by the German fund manager DWS, with a fine by the end of September, two ...
By Chris Prentice. NEW YORK (Reuters) -The U.S. Securities and Exchange Commission's enforcement director is leaving the agency, the regulator said on Wednesday, marking the end of a three-year ...
The Security and Exchange Commission (SEC) proposed a new regulation to combat the practice of “greenwashing,” the misleading marketing of unsustainable investments under the ESG label.…
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. [2] [3] [4] Its primary purpose is to enforce laws against market manipulation. [5] [6]: 2
After a calamitous 2022 that included the implosion of FTX, enforcement actions by the Securities and Exchange Commission against crypto firms hit a record high in 2023, according to a new report ...
In December 2010, the SEC, the Department of Justice and other federal and state agencies announced the results of "Operation Broken Trust", a coordinated effort by the Financial Fraud Enforcement Task Force to target investment fraud. The operation resulted in prosecutions against 310 criminal defendants involving $8.3 billion in losses and ...
In 2005, Lee joined the agency as a staff attorney at the SEC's enforcement division at a regional office in Denver, Colorado. [ citation needed ] Before being appointed as a commissioner, Lee served in various roles at the SEC for over a decade, including as counsel to Commissioner Kara Stein , and as senior counsel in the Division of ...
Rulemaking at the U.S. Securities and Exchange Commission, which hit a record pace early in President Joe Biden's administration, has slowed significantly as the agency navigates a hostile new ...