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.
SEA 1934
Two cases demonstrate a focus on clear antifraud violations supported by strong data trails and involving conduct with direct investor harm.
Disciplinary decisions issued October 25 – 31, 2025.
The move streamlines exchange-traded product listings, paving way for faster approval of digital asset and commodity funds, but shifting oversight burdens to exchanges.
The agency clarified that the tokens do not qualify as investment contracts under the Howey test.
SEC's observations regarding disclosure practices following reviews of crypto asset ETP filings.
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.