U.S. Securities and Exchange Commission

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The U.S. Securities and Exchange Commission (SEC) is a federal agency. It holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

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SEC reveals 2016 hack that breached its filing system

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The SEC revelation comes as Americans continue to grapple with the repercussions of a massive, months-long hack of Equifax, a credit reporting agency, which exposed highly sensitive personal information of 143 million people. The SEC chairman said this breach did not result in exposing personally identifiable information.

State Street paying penalties to settle SEC charges

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The Securities and Exchange Commission has announced that State Street has agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities.

SEC Chairman Clayton Names Executive Staff

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The Securities and Exchange Commission has announced that John Cook, Jeffrey Dinwoodie, Raquel Fox, Kristina Littman, Alan Cohen, Christopher Carofine, and Shelby Begany Telle have been named to the executive staff of Chairman Jay Clayton.

Hedge fund adviser charged for inadequate controls to prevent insider trading

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The Securities and Exchange Commission has announced that hedge fund advisory firm Deerfield Management Company L.P. has agreed to pay more than $4.6 million to settle charges that it failed to establish, maintain, and enforce policies and procedures reasonably designed to prevent the misuse of inside information, including information about confidential government decisions.

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