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    • CLEARING AND SETTLEMENT—SEC issues Treasury clearing relief for certain repo transactions
    • CORPORATE GOVERNANCE—Atkins outlines IPO, crypto, and shareholder-proposal reform agenda at Texas Economic Club
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    • FRAUD AND MANIPULATION—SEC settles charges against Snowden Capital
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    • FRAUD AND MANIPULATION—SEC settles with adviser/broker-dealer over inappropriate ETF investments
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    • REGULATION TRACKER—Upcoming SEC and CFTC comment deadlines and effective dates
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    Securities Regulation Daily Wrap Up, FRAUD AND MANIPULATION—SEC settles charges against Snowden Capital, (Nov 2, 2026)

    By R. Jason Howard, J.D.

    The monetary relief ordered by the SEC will be distributed to affected clients.

    The SEC has announced settled charges against registered investment adviser Snowden Capital Advisors LLC for breaching its fiduciary duty to its retail clients by failing ...

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