SEC
Wells Fargo Settles $110M Discrimination Suit
Wells Fargo agreed to a $110M discrimination settlement. The $100M goes to a new mortgage fund, not to the Black homeowners turned away in 2020.
SEC & Fintech Desk
SEC enforcement, disclosures, crypto.
Enforcement actions, 8-K disclosures, whistleblower awards, FCPA orders. The charging documents that set next quarter's compliance conversation.
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Stories this week
3
Reporters
10
Active topics
All filings
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About this desk
What we cover
SEC enforcement actions, FCPA cases, crypto and digital-asset rulings, disclosure controversies in 10-K and 8-K filings, insider-trading charges, and the SEC–CFTC jurisdictional disputes that define what counts as a security. Stablecoin rulemaking, broker-dealer registration, and whistleblower awards get close attention.
Why it matters for compliance
SEC enforcement priorities shift with each administration, and the first indication is usually in charging documents, no-action letters, and settled orders. A single SEC order against a crypto exchange reshapes what tokens look like securities. A disclosure-case settlement tells CFOs what risk factors they need to add next quarter. A whistleblower award signals where the next wave of tips will come from.
Frequently asked
Which SEC enforcement actions do you cover? +
Cases involving publicly traded companies, registered broker-dealers, investment advisers, crypto platforms, and material FCPA actions. We cover both settled orders and litigated complaints, with focus on the disclosure or accounting question that drove the charge.
Do you track stablecoin and crypto rulemaking? +
Yes — proposed rules from the SEC, CFTC, FinCEN, and OCC affecting digital assets and stablecoin issuers. We note when an NPRM's comment window closes, who filed, and what changed between proposal and final.
How do you decide which 8-K disclosures become stories? +
We filter for disclosures that trigger SEC review risk: material weaknesses, restatements, whistleblower complaints disclosed in Item 8.01, cybersecurity incidents under Item 1.05, and auditor changes. Routine earnings announcements do not qualify.
Do you cover private fintech fundraising here? +
Deal-side fintech activity lives in the Deals section. The SEC section covers the enforcement and compliance side of fintech — registration issues, sponsor-bank disputes, and regulation by enforcement.