SEC enforcement

The SEC chair's ambitious agenda drew fierce resistance from Wall Street and the crypto industry.

The commission is focused on accounting errors the railroad had previously disclosed and certain non-financial performance metrics. 

The firm agreed to settle charges with the SEC over negligence for its work for the now shuttered crypto exchange.

The company was hit with a $24 million penalty as a result of an accounting scheme designed to inflate earnings.

Shipbuilder Austal USA and its parent company agreed to a $24 million civil penalty to settle fraud charges by the Securities and Exchange Commission.

The board brought 34 actions against 45 respondents and imposed a record $35 million in penalties in the first half of 2024.

Investors waiting for an update of how Donald Trump's media startup is faring will have to wait a bit longer — months by some accounts — before getting a look at financial results.

BF Borgers CPA PC and its founder, Benjamin Borgers, will be permanently suspended from practicing and appearing as accountants before the SEC.

The Securities and Exchange Commission hit the fast-rising auditing firm with $14 million in fines, and charged it with deliberate, systemic failures to comply with PCAOB standards.

The Consolidated Audit Trail is a database that is set to revolutionize how the agency monitors trading activity and spots potential misconduct.

The regulatory environment around accounting is getting stricter, as the IRS, the SEC and the PCAOB crack down.

The 83 publicly disclosed accounting and auditing enforcement actions in FY 2023 represented the highest number of actions initiated since FY 2019.

The case involves a former hedge fund manager whom the SEC accused of misleading investors.

The commission charged the Top 100 Firm with violating auditor independence rules on many occasions.

GTT Communications self-reported that it has difficulty reconciling data from two different systems, and overreported its income as a result.

The commission charged the firm with systemic quality control failures and violations of audit standards, mainly in connection with its audits of SPAC clients.

A study found that when a company has bad news, it issues unrelated press releases on the same day it files with the SEC.

Enforcement actions increased 55% in 2022, although total monetary settlements were down more than 60%.

The nonprofit software company settled with the commission over charges that it failed to disclose a cyber breach with a potentially material impact.

The IRS in a separate filing asked a court to compel Kraken to turn over its books and other data.