ADVERTISEMENT
Market news, analysis & forecast powered by
Preview Mode
News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Annual Subscription
Custom Reports
What are you looking for?
What are you looking for?
Subscribe to our News & Services
All News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Forex Education
To B, or Not to Be
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Annual Subscription
Custom Reports
About Us
Contact us
Terms of Use
Privacy
Market News
by
Subscribe to our News & Services
FM ALL News
FM Crypto
Follow us on Twitter
Follow us on Linkedin
FM Home
>
Sec
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Investing in US Securities? Something is Stalking You …
Thought Leadership
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Investing in US Securities? Something is Stalking You …
Thought Leadership
ADVERTISEMENT
sec
Search for a tag
Retail FX
Advisers Pay $400K Settelment for Overhyping AI Investment Strategies
Firms were fined for misleading statements about artificial intelligence capabilities.
Delphia must pay $225K and Global Predictions $175K in civil penalties.
Monday, 18/03/2024 | 12:33 GMT
by
Damian Chmiel
CryptoCurrency
US Senators Urge SEC to Halt Crypto ETP Approvals Due to Disclosure Concerns
Senators Jack Reed and Laphonza Butler warned of the risks retail investors could face from crypto ETPs.
The legislators cited a survey that reveals that 70% of brokers' communications with retail investors violated disclosure rules.
Friday, 15/03/2024 | 14:42 GMT
by
Jared Kirui
Retail FX
Breaking: SEC Website Goes Dark, Bitcoin Tumbles in Aftermath
Speculations arise that there might have been a DDoS or cyber attack.
The SEC has not yet officially addressed the issue.
Friday, 15/03/2024 | 07:43 GMT
by
Damian Chmiel
Retail FX
SEC Slaps VanEck Associates with $1.75M Fine for Concealing Influencer in ETF Launch
The settlement terms include a cease-and-desist order.
Van Eck launched VanEck Social Sentiment ETF in March 2021.
Friday, 16/02/2024 | 14:36 GMT
by
Jared Kirui
Retail FX
SEC Fines 16 Broker-Dealers and Investment Advisers over Off-Channel Communication Lapses
Off-channel communications, including personal text messages, were not preserved as required.
Each firm admitted wrongdoing and agreed to pay substantial fines.
Friday, 09/02/2024 | 16:03 GMT
by
Jared Kirui
CryptoCurrency
SEC Hits TradeStation Crypto with $1.5 Million Penalty over Unregistered Services
TradeStation intends to terminate its services in the US on February 22, 2024.
The company will pay an additional $1.5 million to settle similar charges by state regulatory authorities.
Wednesday, 07/02/2024 | 20:17 GMT
by
Jared Kirui
CryptoCurrency
SEC Charges American Bitcoin Academy's Founder with $1.2M Fraud
Brian Sewell's promised of an AI-driven hedge fund that were revealed to be a fraudulent scheme.
Fifteen students invested $1.2 million based on Sewell's promises.
Friday, 02/02/2024 | 20:41 GMT
by
Jared Kirui
ADVERTISEMENT
CryptoCurrency
Zipmex under Scrutiny: Thailand Orders Suspension over Financial Irregularities
The concerns highlighted by Thailand's regulator include issues related to capital maintenance and business structure.
Zipmex is required to adhere to specific corrective actions, including rectifying its financial position.
Friday, 02/02/2024 | 13:18 GMT
by
Jared Kirui
Trending
SEC's Grewal to Pursue a Culture of Proactive Compliance
Grewal: “Public trust in our institutions is faltering."
He provided clear rules for companies to follow in terms of compliance.
Grewal also outlined how companies could enhance their compliance initiatives.
Thursday, 25/01/2024 | 11:47 GMT
by
Harriet Christie
Institutional FX
SEC Bolsters Investor Safeguards in Latest SPAC Regulations
The new regulations focus on adequate disclosures and heightened issuer obligations.
The SEC aims to enhance investor protection with new requirements for adequate information about target companies.
Wednesday, 24/01/2024 | 17:10 GMT
by
Jared Kirui
CryptoCurrency
SEC Points to "SIM Swap" Attack in Bitcoin ETF Approval Hoax
The regulator mentioned that the multi-factor authentication had been disabled in July 2023.
The SEC requested that X terminated unauthorized access when its account was breached.
Tuesday, 23/01/2024 | 20:55 GMT
by
Jared Kirui
Retail FX
SEC Probes B. Riley’s Nomura-Backed Deal Involving FRG Acquisition
This investigation focuses on B. Riley's role in the buyout of FRG, a deal that Nomura partially financed.
B. Riley has denied receiving official communication from the regulator.
Monday, 22/01/2024 | 12:58 GMT
by
Jared Kirui
CryptoCurrency
South Korea Defies Trend: Rejects Crypto ETFs despite SEC's Approval
The FSC has emphasized that the crypto ETF brokerage may violate the Capital Market Act.
Despite the current stance, the regulator has hinted at possible future developments.
Friday, 12/01/2024 | 13:40 GMT
by
Jared Kirui
CryptoCurrency
Bitcoin ETF Battle: BlackRock, Ark Cut Fees amid False Approval Alert
These changes followed a false announcement on the SEC's website claiming approval for spot Bitcoin ETFs.
BlackRock's iShares Bitcoin Trust has lowered its fee from 0.30% to 0.25%.
Wednesday, 10/01/2024 | 13:45 GMT
by
Jared Kirui
ADVERTISEMENT
Trending
SEC Twitter Hack Causes Chaos and Memes
Bitcoin's price drops, positions liquidated, community cries "manipulation".
The memelords go to town.
Twitter claims that it isn't to blame.
Wednesday, 10/01/2024 | 12:07 GMT
by
Louis Parks
CryptoCurrency
SEC's Twitter Account "Compromised" in False Bitcoin ETF Announcement
Gary Gensler clarified the stance of the SEC after a tweet falsely claimed approval for spot Bitcoin ETF.
This development led to volatility in the price of Bitcoin, which surged to over $47,000.
Tuesday, 09/01/2024 | 22:10 GMT
by
Jared Kirui
CryptoCurrency
SEC's Response Spurs Bitcoin ETF Amendments by BlackRock, VanEck
These amendments aim to address the protection of shareholders in insolvency situations.
The financial landscape anticipates the approval of a spot Bitcoin ETF by the SEC.
Tuesday, 09/01/2024 | 14:03 GMT
by
Jared Kirui
CryptoCurrency
Bitcoin ETF Deadline Week: SEC Chief Warns on Crypto Investments
Gary Gensler has warned of high risks in crypto investments.
Fraudulent schemes loom in the rising popularity of cryptocurrencies.
Monday, 08/01/2024 | 18:48 GMT
by
Jared Kirui
CryptoCurrency
"BlackRock Definitely Has the Right Advisors for Bitcoin ETF": Legal Expert Dr Zvi Gabbay
In the second part of the interview, Dr Gabbay admires the EU's crypto approach and noted that the US is pushing away the crypto business.
"This is also the opportunity for politicians to step in and start offering their solutions."
Friday, 22/12/2023 | 16:25 GMT
by
Sam White
Retail FX
24 Million Americans Gain Entry to Investing Market for the Elites
Inflation increases the number of US-accredited investors by 18.5%.
Many of them choose gold as an alternative investment.
Wednesday, 20/12/2023 | 15:13 GMT
by
Damian Chmiel
Institutional FX
DTCC Pledges Compliance with SEC’s New Treasury Regulations
The SEC plans to mandate central clearing for US Treasury cash and repo markets by a specific deadline.
DTCC has issued a statement highlighting its plans to comply with the amended regulations.
Thursday, 14/12/2023 | 17:14 GMT
by
Jared Kirui
ADVERTISEMENT
CryptoCurrency
"The SEC Is Wrong and They're Already Paying for it": Regulatory Expert Zvi Gabbay
In the two-part interview, Dr. Gabbay discusses the approach of the SEC towards crypto regulation from a legal point of view.
"What's amazing is that they go ahead and file a complaint against Kraken, which shows that they're not hearing the message”.
Wednesday, 13/12/2023 | 16:27 GMT
by
Sam White
FinTech
Apex Fintech Solutions Renews IPO Plans, Files Documents with the SEC
The company has confidentially submitted Form S-1 to the regulator for a potential IPO.
Details about the number of shares, prices, and final offerings remain undisclosed.
Tuesday, 12/12/2023 | 14:39 GMT
by
Jared Kirui
Retail FX
SEC Targets Five Brokers in $525M Investment Fraud Scheme
Defendants allegedly pocketed $88M in undisclosed fees from investors.
These offerings drew investments from more than 4,000 individuals globally.
Thursday, 07/12/2023 | 14:45 GMT
by
Jared Kirui
Retail FX
News Nuggets | 28 November: Ledger Partners with YouHodler; KX Launches AI Server
Also, FCA warned against two clone firms; Mastercard and Warply teamed up in MENA.
Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Tuesday, 28/11/2023 | 11:42 GMT
by
Damian Chmiel
See more
Next
ADVERTISEMENT
ADVERTISEMENT
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}