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- SEC. gov | Two Robinhood Broker-Dealers to Pay $45 Million in Combined . . .
The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations
- Paul S. Atkins Sworn In as SEC Chairman - SEC. gov
Paul S Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission Chairman Atkins was nominated by President Donald J Trump on January 20, 2025, and confirmed by the U S Senate on April 9, 2025
- SEC. gov | Newsroom
The SEC's Small Business Capital Formation Advisory Committee is holding a public meeting regarding matters relating to rules and regulations affecting small and emerging businesses and their investors under the federal securities laws
- SEC. gov | About
The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation
- EDGAR Search Assistance - SEC. gov
Submit Filings Data Research Rules, Enforcement, Compliance Securities Topics About Submit a Tip or Complaint Newsroom | Investors Small Businesses Whistleblowers
- SEC. gov | Mark T. Uyeda Named Acting Chairman of the SEC
The Securities and Exchange Commission today announced that President Donald J Trump has designated Mark T Uyeda as Acting Chairman of the agency “I am honored to serve in this capacity after serving as a Commissioner since 2022, and a member of the staff since 2006,” Acting Chairman Uyeda said
- SEC. gov | Enforcement and Litigation
The SEC’s civil law enforcement authority enables the Commission to hold violators of the federal securities laws accountable for their misconduct and recover money for the benefit of harmed investors
- Twelve Firms to Pay More Than $63 Million Combined to Settle SEC’s . . .
The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping provisions of the federal securities laws
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