SEA 1934
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Former pharma CEO agrees $30k settlement with SEC over fraud allegations
Anthony J Cataldo, who was accused of diverting millions in company funds, agreed to settle fraud allegations for a fraction of the amount regulators say he stole.
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Recent fraud cases reflect a more selective SEC approach
Two cases demonstrate a focus on clear antifraud violations supported by strong data trails and involving conduct with direct investor harm.
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FINRA disciplinary action update 2025/40
Disciplinary decisions issued October 25 – 31, 2025.
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SEC approves generic listing standards for commodity-based trust shares
The move streamlines exchange-traded product listings, paving way for faster approval of digital asset and commodity funds, but shifting oversight burdens to exchanges.
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SEC says liquid staking receipt tokens are not securities
The agency clarified that the tokens do not qualify as investment contracts under the Howey test.
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SEC issues statement on crypto asset exchange-traded products
SEC’s observations regarding disclosure practices following reviews of crypto asset ETP filings.
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SEC’s Peirce outlines vision for keeping companies focused on maximizing value
Peirce’s prepared remarks at the Northwestern Securities Regulation Institute outlined seven principles a newly comprised securities watchdog should follow.
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SEC charges former CEO of Church & Dwight for hiding friendship with company executive
The independent director was accused of violating proxy regulations by concealing the relationship.