SEC

The U.S. Securities and Exchange Commission is an independent agency of the United States federal government.

Source: en.wikipedia.org

UBS Pays $125 Million to Settle US Charges of Repeated AML Failures

UBS Pays $125 Million to Settle US Charges of Repeated AML Failures
UBS Pays $125 Million to Settle US Charges of Repeated AML Failures
August 03, 2026  |  AML

Four U.S. regulators have reached separate agreements with UBS Financial Services in which the company will pay a total of $125 million to settle violations...

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SEC Small Business Forum Participants Target Crypto and Crowdfunding Limits
SEC Small Business Forum Participants Target Crypto and Crowdfunding Limits
July 28, 2026  |  SMBs

The Securities and Exchange Commission (SEC) has released a report to Congress highlighting policy recommendations for improving capital-raising policy. Get the Full Story Complete the form to unlock this...

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Crypto Market Regulation Is Running Out of Time at the Finish Line
Crypto Market Regulation Is Running Out of Time at the Finish Line
July 20, 2026  |  Cryptocurrency

The CLARITY Act was supposed to resolve a relatively straightforward, if technically difficult, question: When is a digital asset a security, when is it a...

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Ripple CEO Says Company Considered Folding Before SEC Fight
Ripple CEO Says Company Considered Folding Before SEC Fight
July 12, 2026  |  Blockchain

Ripple’s CEO says the blockchain company considered shuttering following an Securities and Exchange Commission (SEC) lawsuit. Get the Full Story Complete the form to unlock...

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SEC Clears Path for UBS Crisis Resolution Plans
SEC Clears Path for UBS Crisis Resolution Plans
July 08, 2026  |  Legal & Regulation

A division of the Securities and Exchange Commission told UBS Group Wednesday (July 8) that it will not recommend that the regulator undertake enforcement action...

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SEC Seeks Ways for More Companies to Go Public
SEC Seeks Ways for More Companies to Go Public
July 08, 2026  |  IPO

Federal securities regulators are exploring ways to encourage more companies to go public. Get the Full Story Complete the form to unlock this article and...

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SEC Plans Crypto Rules to Lure Markets Onshore
SEC Plans Crypto Rules to Lure Markets Onshore
July 07, 2026  |  Cryptocurrency

The Securities and Exchange Commission’s (SEC) 2026 Regulatory Agenda includes proposed rules that would clarify the regulatory framework around crypto assets. Get the Full Story...

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SEC Names JPMorgan Veteran Paul Knight as COO
SEC Names JPMorgan Veteran Paul Knight as COO
July 06, 2026  |  Legal & Regulation

The Securities and Exchange Commission (SEC) is adding a new operations chief at a moment when the agency is trying to move faster on crypto,...

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