Securities and Exchange Commission – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Tue, 11 Feb 2025 17:44:06 +0000 en-US hourly 1 https://wordpress.org/?v=6.1.1 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Securities and Exchange Commission – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 SEC retreats on climate disclosure rules https://uat-phoenix.investmentexecutive.com/news/sec-retreats-on-climate-disclosure-rules/ Tue, 11 Feb 2025 17:44:06 +0000 https://www.investmentexecutive.com/?p=502235 SEC hacker pleads guilty https://uat-phoenix.investmentexecutive.com/news/sec-hacker-pleads-guilty/ Mon, 10 Feb 2025 20:10:08 +0000 https://www.investmentexecutive.com/?p=502097 CFTC pledges enhanced public consultation https://uat-phoenix.investmentexecutive.com/news/cftc-pledges-enhanced-public-consultation/ Mon, 27 Jan 2025 20:22:13 +0000 https://www.investmentexecutive.com/?p=501044 CSA to match SEC on trading fee caps https://uat-phoenix.investmentexecutive.com/news/csa-to-match-sec-on-trading-fee-caps/ Thu, 23 Jan 2025 18:55:14 +0000 https://www.investmentexecutive.com/?p=500845 SEC launches crypto task force https://uat-phoenix.investmentexecutive.com/news/sec-launches-crypto-task-force/ Tue, 21 Jan 2025 21:05:38 +0000 https://www.investmentexecutive.com/?p=500668 SEC makes last-minute enforcement push https://uat-phoenix.investmentexecutive.com/news/sec-makes-last-minute-enforcement-push/ Mon, 20 Jan 2025 19:37:19 +0000 https://www.investmentexecutive.com/?p=500545 Vanguard settles with SEC, NASAA https://uat-phoenix.investmentexecutive.com/news/vanguard-settles-with-sec-nasaa/ Fri, 17 Jan 2025 22:02:37 +0000 https://www.investmentexecutive.com/?p=500518 Firms shortchanged cash sweep clients: SEC https://uat-phoenix.investmentexecutive.com/news/firms-shortchanged-cash-sweep-clients-sec/ Fri, 17 Jan 2025 21:22:24 +0000 https://www.investmentexecutive.com/?p=500436 Quant funds failed to guard models: SEC https://uat-phoenix.investmentexecutive.com/news/quant-funds-failed-to-guard-models-sec/ Fri, 17 Jan 2025 18:26:20 +0000 https://www.investmentexecutive.com/?p=500433 Private equity giants hit with SEC texting charges https://uat-phoenix.investmentexecutive.com/news/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183