SEC enforcement

While activity at both regulators declined early in the COVID-19 pandemic, it only recovered at the commission.

The new commissioner is poised to confront everything from the fallout of the GameStop trading frenzy to the deluge of SPACs.

U.S. regulators are throwing another wrench into Wall Street’s SPAC machine by cracking down on how accounting rules apply to a key element of blank-check companies.

The commission is starting to implement a tough law passed at the end of the Trump administration, aimed largely at Chinese stocks.

The Securities and Exchange Commission suspended two former KPMG auditors accused of improper professional conduct during an audit of the now defunct College of New Rochelle.

Embattled Chinese coffee chain Luckin Coffee Inc. filed for Chapter 15 bankruptcy in New York, less than a year after the company said that more than a quarter’s worth of business may have been faked.

President-elect Joe Biden’s team of financial regulators is taking shape, with progressive favorites being chosen for the top jobs at the Securities and Exchange Commission and the Consumer Financial Protection Bureau — moves that mean Wall Street should prepare itself for a new era of tougher oversight and stricter rules.

A recent case is a warning that companies must disclose the financial impact of the pandemic.

The Securities and Exchange Commission rewarded the whistleblower who exposed potential securities law violations in connection with their audit-related responsibilities.

The commission says the company financial disclosures were misleading.

The restaurant chain failed to adequately disclose the financial impact of the pandemic.

Jay Clayton, who has led the U.S. Securities and Exchange Commission for most of President Donald Trump’s term in office, said in a statement Monday that he will step down at the end of the year.

The Division of Enforcement's annual report also highlights non-pandemic-related issues that arose in fiscal year 2020 and strategic operational changes.

The award is the highest in the history of the congressional program.

General Electric Co. warned that it’s likely to face Securities and Exchange Commission allegations of accounting misdeeds, setting back CEO Larry Culp’s effort to put the company’s rocky past behind it.

The commission filed settled actions against two public companies and two former executives for improper reporting of quarterly EPS.

GSX Techedu is the latest case of a U.S.-listed Chinese company facing greater scrutiny on accounting issues amid rising tensions.

With the recent economic slowdown, companies are under increased pressure to show stability, or even growth, and paint a rosy picture for investors.

Mark Frissora will return nearly $2 million in incentive-based compensation to settle a U.S. regulator’s claims that he played a key role in causing the now-bankrupt car-rental company to file inaccurate financial statements in 2013.

The U.S. Supreme Court limited the power of the Securities and Exchange Commission to recoup illegal profits from wrongdoers, putting new curbs on one of the agency’s most potent legal weapons.