Headline: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Headline: SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud Headline: SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations Headline: SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors Headline: SEC Announces Enforcement Results for Fiscal Year 2023 Headline: Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations Headline: SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest Headline: SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency Headline: SEC Charges New York Businessman with Fraud and Unregistered Sales of Securities to Investors Seeking Permanent Residency in the U.S.
