Financial Regulatory Updates SEC Charges CMI Capital and Founder Michael D. Williams in $860,000 Fraudulent Investment Scheme Targeting South Florida Law Enforcement September 26, 2026 Azzam Bilal Chamdy WASHINGTON, D.C. — In a sweeping regulatory enforcement action that highlights the continuing vulnerabilities of public safety personnel to affinity fraud, the U.S. Securities and Exchange Commission (SEC) announced formal…
Financial Regulatory Updates SEC Establishes Specialized Financial Reporting and Accounting Unit to Intensify Enforcement Against Corporate Fraud September 22, 2026 Asep Darmawan WASHINGTON, D.C. — In a strategic move designed to bolster the integrity of U.S. capital markets, the Securities and Exchange Commission (SEC) announced today the creation of a new, dedicated…
Financial Regulatory Updates Leadership Transition at the SEC: Principal Deputy Director of Enforcement Sam Waldon Departs After 14 Years, Succeeded by Osman Nawaz September 16, 2026 Suro Senen WASHINGTON, D.C. — In a significant leadership transition for the nation’s top financial watchdog, the Securities and Exchange Commission (SEC) announced today that Sam Waldon, Principal Deputy Director of the…
Financial Regulatory Updates SEC Enforcement Shakeup: Sam Waldon Departs After 14-Year Tenure; Osman Nawaz Named Successor July 22, 2026 Siti Muinah WASHINGTON, D.C. — In a significant leadership transition for the nation’s top financial regulator, the U.S. Securities and Exchange Commission (SEC) announced on July 22, 2026, that Sam Waldon, the…
Financial Regulatory Updates SEC Overhauls Enforcement Strategy: Historic "No-Deny" Policy Rescinded July 21, 2026 Neng Nana WASHINGTON, D.C. — In a landmark policy shift that signals a significant departure from decades of regulatory precedent, the U.S. Securities and Exchange Commission (SEC) announced on May 18, 2026,…
Financial Regulatory Updates SEC Overhauls Enforcement Policy: A Historic Shift in Settlement Procedures July 13, 2026 Jia Lissa WASHINGTON, D.C. — In a landmark policy shift that signals a departure from over half a century of regulatory precedent, the Securities and Exchange Commission (SEC) announced on May 18,…
Financial Regulatory Updates SEC Overhauls Enforcement Policy: A Historic Shift on Defendant "No-Deny" Provisions July 6, 2026 Azzam Bilal Chamdy WASHINGTON, D.C. — In a landmark policy shift that signals a fundamental change in the relationship between federal regulators and the financial industry, the U.S. Securities and Exchange Commission (SEC)…
Financial Regulatory Updates A Legacy of Enforcement: Jason Burt to Conclude Over Two Decades of Service at the SEC June 29, 2026 Lina Irawan WASHINGTON, D.C. — The U.S. Securities and Exchange Commission (SEC) announced today that Jason Burt, a pillar of the agency’s Division of Enforcement and a veteran of more than 22…
Financial Regulatory Updates SEC Overhauls Enforcement Strategy: Historic Rescission of "No-Deny" Policy Marks New Era for Regulatory Settlements June 29, 2026 Asep Darmawan Washington, D.C. — In a landmark policy shift that signals a fundamental realignment of federal regulatory philosophy, the Securities and Exchange Commission (SEC) announced on May 18, 2026, the formal…
Financial Regulatory Updates A Paradigm Shift: SEC Realigns Enforcement Strategy to Prioritize Investor Protection in FY 2025 June 23, 2026 Nila Kartika Wati The U.S. Securities and Exchange Commission (SEC) has officially closed the books on fiscal year 2025, marking the end of a transformative period that saw the agency pivot away from…
