SEC Reports Record Penalties, Case Filings in Fiscal 2026 Enforcement Results
SEC fiscal 2026 enforcement results show record penalties and case filings against market misconduct, per the agency’s release.
SEC
SEC Proposes Custody Rules for Crypto Held by Advisers and Funds
SEC proposes crypto custody rules for investment advisers and funds, allowing limited self-custody and state trust companies as custodians.
SEC Charges Four Entities in $15M+ WhatsApp and Social Media Fraud Schemes
SEC charges Cryptoaiml and TSAI entities over $15M in fraud using WhatsApp and social media to impersonate advisors and promise fake AI trading profits.
SEC Fines Zoe Financial $450K Over Undisclosed Referral Conflicts
SEC fines Zoe Financial $450K over undisclosed conflicts of interest linked to its Zoe Wealth platform, covering January 2023 to December 2024.