Entity DossierGovernment Body

Securities and Exchange Commission

Federal agency responsible for enforcing securities laws, including insider trading regulations. Maintains EDGAR database of corporate insider filings.

finance banking

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Tracked donations to candidate

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109

Recent News

US Judge Denies Adani Case Dismissal ; Seeks Govt Explanation

divyamarathi.bhaskar.com·Jun 27, 2026

HealthEquity , Inc . $HQY Position Lifted by Wasatch Advisors LP

tickerreport.com·Jun 27, 2026

Wasatch Advisors LP Has $601 . 95 Million Stock Holdings in HealthEquity , Inc . $HQY

dailypolitical.com·Jun 27, 2026

Laurel Oak Wealth Management LLC Sells 6 , 568 Shares of Vanguard Short - Term Corporate Bond ETF $VCSH

tickerreport.com·Jun 27, 2026

OLD Second National Bank of Aurora Purchases 26 , 306 Shares of Invesco BulletShares 2027 Municipal Bond ETF $BSMR

tickerreport.com·Jun 27, 2026

News articles sourced from GDELT Project. Tone analysis is automated and approximate.

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Regulatory Capture Assessment

Regulatory capture occurs when a regulatory agency advances the interests of the industry it is meant to oversee. The indicators below track evidence of capture for this agency. According to the academic literature (Stigler 1971, Carpenter & Moss 2013), captured agencies exhibit declining enforcement, revolving door personnel pipelines, and rule-making that favors incumbents over public interest.

Industry connections

Enforcement actions

Revolving door

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Relationships

Type	Connected To	Details	Source
Enabled	Dismissal of SEC v. Payward, Inc., doing business as Kraken	Commission voted or filed to dismiss or close this enforcement action	Source
Instrument of	Crypto industry	Under Chair Paul Atkins (former crypto consultant), the SEC dismissed enforcement actions against Coinbase, Binance, Consensys, Kraken, and closed investigations into Uniswap and Robinhood Crypto	Source
issued_rule	Delegation of Authority to the Director of the Division of Investment Management	Issued the rule.	Source
issued_rule	Technical Amendments to Commission Rules and Forms	Issued the rule.	Source
issued_rule	Technical Amendments to Commission Forms	Issued the rule.	Source
issued_rule	Financial Data Transparency Act Joint Data Standards	Issued the rule.	Source
proposed_rule	Safeguarding Advisory Client Assets	SEC proposed rule: Safeguarding Advisory Client Assets	Source
issued_rule	Extension of Compliance Date for Disclosure of Order Execution Information	Issued the rule.	Source
issued_rule	Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration	Issued the rule.	Source
issued_rule	Commission's Rules of Practice	Issued the rule.	Source
issued_rule	Acceleration of Effectiveness of Registration Statements of Issuers With Certain Mandatory Arbitration Provisions	Issued the rule.	Source
issued_rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date	Issued the rule.	Source
issued_rule	Extension of Compliance Dates for Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Extension of Compliance Date for Required Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Regulatory Flexibility Agenda	Issued the rule.	Source
issued_rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date	Issued the rule.	Source
shaped_policy	Withdrawal of Proposed Regulatory Actions	Withdrew the rulemaking before finalizing it.	Source
issued_rule	Policy Statement Concerning Agency Referrals for Potential Criminal Enforcement	Issued the rule.	Source
issued_rule	Concept Release on Foreign Private Issuer Eligibility	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension	Issued the rule.	Source
issued_rule	Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs; Delay of Effective and Compliance Dates	Issued the rule.	Source
issued_rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Issued the rule.	Source
issued_rule	Investment Company Names; Extension of Compliance Date	Issued the rule.	Source
issued_rule	Delegation of Authority to Director of the Division of Enforcement	Issued the rule.	Source
issued_rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Extension of Compliance Date	Issued the rule.	Source
issued_rule	Extension of Compliance Dates for Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities	Issued the rule.	Source
issued_rule	Technical Amendments to Commission Rules and Forms	Amended an existing rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Staff Accounting Bulletin No. 122	Issued the rule.	Source
issued_rule	Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report	Issued the rule.	Source
issued_rule	Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule	Issued the rule.	Source
issued_rule	EDGAR Filer Access and Account Management	Issued the rule.	Source
issued_rule	Commission's Organization and Program Management Regulations	Issued the rule.	Source
issued_rule	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act	Issued the rule.	Source
issued_rule	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews	Issued the rule.	Source
shaped_policy	Clearing Agency Governance and Conflicts of Interest	Withdrew the rulemaking before finalizing it.	Source
issued_rule	Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans	Issued the rule.	Source
issued_rule	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews	Issued the rule.	Source
issued_rule	Conforming Amendments to Commission Rules and Forms	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders	Issued the rule.	Source
issued_rule	Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs	Issued the rule.	Source
issued_rule	Qualifying Venture Capital Funds Inflation Adjustment	Issued the rule.	Source
issued_rule	Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments To Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments	Issued the rule.	Source
issued_rule	Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information; Correction	Issued the rule.	Source
issued_rule	Special Purpose Acquisition Companies, Shell Companies, and Projections; Correction	Issued the rule.	Source
issued_rule	Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information	Issued the rule.	Source
issued_rule	Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Disclosure of Order Execution Information	Issued the rule.	Source
issued_rule	The Enhancement and Standardization of Climate-Related Disclosures for Investors; Delay of Effective Date	Issued the rule.	Source
issued_rule	Exemption for Certain Investment Advisers Operating Through the Internet	Issued the rule.	Source
issued_rule	Share Repurchase Disclosure Modernization	Issued the rule.	Source
issued_rule	Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; Correction	Issued the rule.	Source
issued_rule	The Enhancement and Standardization of Climate-Related Disclosures for Investors	Issued the rule.	Source
issued_rule	Exemption for Certain Investment Advisers Operating Through the Internet; Correction	Issued the rule.	Source
issued_rule	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Issued the rule.	Source
issued_rule	EDGAR Filer Access and Account Management; Correction	Issued the rule.	Source
issued_rule	Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers	Issued the rule.	Source
issued_rule	Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission	Issued the rule.	Source
issued_rule	Special Purpose Acquisition Companies, Shell Companies, and Projections	Issued the rule.	Source
issued_rule	Qualifying Venture Capital Funds Inflation Adjustment	Issued the rule.	Source
issued_rule	Regulatory Flexibility Agenda	Issued the rule.	Source
issued_rule	The Commission's Privacy Act Regulations	Issued the rule.	Source
issued_rule	Safeguarding Advisory Client Assets; Reopening of Comment Period	Issued the rule.	Source
Opposed	Congressional stock trading	SEC enforces insider trading laws for corporate insiders but has limited jurisdiction over congressional trading.	Editorial
issued_rule	Holding Foreign Insiders Accountable Act Disclosure; Correction	Issued the rule.	Source
issued_rule	Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies	Issued the rule.	Source
issued_rule	Registered Offering Reform	Issued the rule.	Source
shaped_policy	Rescission of Policy Regarding Denials in Settlements of Enforcement Actions	Repealed or rescinded the rule.	Source
issued_rule	Semiannual Reporting	Issued the rule.	Source
issued_rule	Technical Amendments to Rule 610(e) of Regulation NMS and to Delegation of Authority To Grant or Deny Exemptions From Rule 610 of Regulation NMS	Amended an existing rule.	Source
issued_rule	Form PF; Reporting Requirements for All Filers	Issued the rule.	Source
issued_rule	Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	Performance-Based Investment Advisory Fees	Issued the rule.	Source
issued_rule	Publication or Submission of Quotations Without Specified Information	Issued the rule.	Source
issued_rule	Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets	Issued the rule.	Source
issued_rule	Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities	Issued the rule.	Source
issued_rule	Prohibition Against Conflicts of Interest in Certain Securitizations	Issued the rule.	Source
issued_rule	Clearing Agency Governance and Conflicts of Interest	Issued the rule.	Source
issued_rule	Volume-Based Exchange Transaction Pricing for NMS Stocks	Issued the rule.	Source
issued_rule	Reporting of Securities Loans	Issued the rule.	Source
issued_rule	Modernization of Beneficial Ownership Reporting	Issued the rule.	Source
issued_rule	Short Position and Short Activity Reporting by Institutional Investment Managers	Issued the rule.	Source
issued_rule	Investment Company Names; Correction	Issued the rule.	Source
issued_rule	List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act	Issued the rule.	Source
issued_rule	Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities	Issued the rule.	Source
issued_rule	Investment Company Names	Issued the rule.	Source
issued_rule	Adoption of Updated EDGAR Filer Manual	Issued the rule.	Source
issued_rule	The Commission's Privacy Act Regulations	Issued the rule.	Source
issued_rule	EDGAR Filer Access and Account Management	Issued the rule.	Source
issued_rule	Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews	Issued the rule.	Source
issued_rule	Exemption for Certain Exchange Members	Issued the rule.	Source
issued_rule	Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure	Issued the rule.	Source
issued_rule	Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers	Issued the rule.	Source
issued_rule	Exemption for Certain Investment Advisers Operating Through the Internet	Issued the rule.	Source
Targeting	Wells Fargo	Wells Fargo subject to SEC enforcement actions	Source
Targeting	JPMorgan Chase	JPMorgan subject to SEC enforcement actions	Source
Overseen by	Senate Banking Committee	Senate Banking Committee has jurisdiction over the Securities and Exchange Commission	Editorial
Employs	Paul Atkins	Paul Atkins serves as SEC Chair since April 2025	Editorial
Employs	Hester Peirce	Hester Peirce serves as SEC Commissioner	Editorial
Overseen by	House Financial Services Committee	House Financial Services Committee has jurisdiction over the Securities and Exchange Commission	Editorial
Contracted by	IBM	IBM received award from Securities and Exchange Commission	Source
Lobbied by	Coinbase, Inc.	Coinbase lobbied the SEC for regulatory clarity on crypto assets	Editorial
Targeting	GOLDMAN SACHS &	Goldman Sachs subject to SEC enforcement (1MDB)	Source