SEC Adopts New Rule 13f-2 to Enhance Short Sale Transparency

The SEC has adopted Rule 13f-2 to provide investors and other market participants with greater transparency about short sale data, as mandated by Section 929X of the Dodd-Frank Act of 2010.

Joint Senior-Level Meeting to Discuss CCP Resolution Issues

The top officials from the SEC, FDIC, CFTC, Federal Reserve Board, and Bank of England held a hybrid meeting today to review recent joint work on CCP resolution and decide on priorities for future work.

SEC Charges Investment Advisory Firm GlennCap With Cherry-Picking Fraud

The SEC found that Glenn and GlennCap LLC had committed fraud by favoring profitable trades to favored clients, including the firm's own accounts, while unloading unprofitable trades onto disfavored clients, a practice known as cherry-picking, resulting in them paying more than $3 million in fines and other sanctions.

SEC Charges Lyft for Failing to Disclose Board Director's Role in Shareholder Sale

The SEC charged Lyft with failing to disclose a board director's role in a shareholder's sale of shares before its IPO, resulting in a $10 million penalty.

SEC Settles With CBRE for Violating Whistleblower Protection Rule

The SEC settled charges with CBRE, Inc. for violating the SEC’s whistleblower protection rule and CBRE consented to pay a civil penalty of $375,000.

Building DEIA Equity: The SEC's Commitment to Fair and Inclusive Markets

The SEC's DEIA Strategic Plan works to protect investors, facilitate capital formation, and promote fairness while cultivating a culture of inclusivity, connectedness, and belonging.

SEC Investor Advisory Committee Meeting: Examining Regulation D Rule 506, Human Capital Management Disclosure, Open-End Fund Liquidity Risk Management Programs and Swing Pricing.

The SEC's Investor Advisory Committee is holding a public meeting on September 21 to discuss topics such as Regulation D Rule 506 Accredited Investors, Human Capital Management Disclosure, Open-End Fund Liquidity Risk Management Programs and Swing Pricing, and Dodd-Frank Act.