Preview Mode
News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Education
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Annual Subscription
Custom Reports
Market News
by
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
Education
Forex Education
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
ADVERTISEMENT
ADVERTISEMENT
FM Home
>
Sec
Democratizing Investing: A Revolution in the Making?
Education Center
Crypto for the Unbanked: Can Digital Currencies Solve Financial
Education Center
Wealthtech and the Democratization of Investing
Education Center
AIToolGuru.com Simplifies Access to Cutting-Edge AI Tools
Thought Leadership
Democratizing Investing: A Revolution in the Making?
Education Center
Crypto for the Unbanked: Can Digital Currencies Solve Financial
Education Center
Wealthtech and the Democratization of Investing
Education Center
AIToolGuru.com Simplifies Access to Cutting-Edge AI Tools
Thought Leadership
ADVERTISEMENT
sec
Search for a tag
Institutional FX
SVB Financial Executives' Share Sales under Scrutiny in Ongoing SEC and DoJ Probes
DoJ and SEC join Fed in examining the SVB's crisis.
Investigations include reviewing SVB Financial executives' shares sales before the collapse.
Wednesday, 15/03/2023 | 09:43 GMT
by
Damian Chmiel
Institutional FX
Credit Suisse Highlights "Material Weakness" in Delayed Annual Report
The lender's shares are testing all-time lows.
The collapse of SVB only makes the troubled bank's situation worse.
Tuesday, 14/03/2023 | 10:43 GMT
by
Damian Chmiel
Institutional FX
Credit Suisse Delays Annual Report and Cuts Investment Banking Jobs
CS shares fell after the SEC call forced the lender to delay its report.
Additionally, the bank is cutting other investment banking jobs.
Thursday, 09/03/2023 | 12:05 GMT
by
Damian Chmiel
CryptoCurrency
Binance Talks about Compliance Gaps and Expects to Pay Penalties
The company's CSO confirmed that in the past, Binance had small "gaps" in its regulatory compliance.
Crypto exchange expects to pay penalties to resolve the US investigations.
Thursday, 16/02/2023 | 12:40 GMT
by
Damian Chmiel
ADVERTISEMENT
CryptoCurrency
Paxos Stops BUSD Mint after SEC Action, Binance's CZ Calms "Funds Are Safe"
SEC's decision might change the broad picture of the crypto industry.
If recognized as securities, BUSD will have to be withdrawn from the Binance offering.
Monday, 13/02/2023 | 12:36 GMT
by
Damian Chmiel
CryptoCurrency
Kraken Shuts Staking-as-a-Service in US amid $30M SEC Settlement
The exchange will continue to offer staking for non-US customers.
The SEC raised concerns about the risks of staking-as-a-service platforms.
Friday, 10/02/2023 | 06:54 GMT
by
Arnab Shome
CryptoCurrency
Kraken Faces SEC Probe over Unregistered Securities Listings
Neither the regulator nor the exchange officially confirmed the investigation.
The probe is believed to be in advanced stages with possibilities of a settlement.
Thursday, 09/02/2023 | 07:31 GMT
by
Arnab Shome
Institutional FX
Regulators Slapped Industry with Record Fines in 2022, SEC in the Lead
WhatsApp crackdown amounted to fines of $1.1 billion.
Also, European regulators imposed high penalties although visibly lower than the SEC.
Tuesday, 31/01/2023 | 12:17 GMT
by
Damian Chmiel
ADVERTISEMENT
CryptoCurrency
Mutant Ape Planet NFT Creator Aurelien Michel Arrested at JFK Airport
It is alleged Michel defrauded investors of $2.9 million.
The 24-year-old French national resided in UAE.
Friday, 06/01/2023 | 17:04 GMT
by
Finance Magnates Staff
CryptoCurrency
SEC Charges Thor Token Creators for $2.6m ICO
ICO took place in 2018, involving 1,600 investors.
One of the defendants decided to take a plea deal with the SEC.
Thursday, 22/12/2022 | 11:43 GMT
by
Damian Chmiel
Op-ed
CryptoCurrency
Op-ed
Strange Days in Crypto as Citizen Journalism Takes Over
There is stark contrast between mainstream and alternative media around coverage of FTX.
Alternative media has been investigative, analytical, critical and playing a vital role.
Thursday, 01/12/2022 | 17:00 GMT
by
Sam White
CryptoCurrency
Crypto Ponzi Scheme Defrauded $295m in BTC. The SEC Charged Its Creator
The trading bot was supposed to auto-invest, however, the money never hit the market.
A huge part of the embezzled BTC went strait to the Ponzi scheme creator and promoters.
Monday, 07/11/2022 | 09:02 GMT
by
Damian Chmiel
ADVERTISEMENT
Op-ed
CryptoCurrency
Op-ed
The SEC vs The Metaverse
Yuga Labs, creator of Bored Ape Yacht Club and Otherside, is reportedly under SEC investigation.
To be officially overseen, NFTs and metaverse projects may require new regulatory frameworks.
Thursday, 13/10/2022 | 15:30 GMT
by
Sam White
News
Sparkster Agrees to Pay $35 Million to Harmed Investor Fund
The commission has recently issued a cease-and-desist order against the company and its CEO.
According to the order, Sparkster and its CEO raised almost $30 million from 4,000 investors.
Tuesday, 20/09/2022 | 08:15 GMT
by
Bilal Jafar
Institutional FX
SEC Announces Whistleblower Program Amendments
The authority has adopted two amendments.
The new amendments will become effective 30 days after publication in the Federal Register.
Saturday, 27/08/2022 | 11:54 GMT
by
Bilal Jafar
CryptoCurrency
The SEC and CFTC Propose Amending Form PF, Cryptocurrency Exposure to Be Included
Material events will require reporting within one business day.
Withdrawal and redemption rights, inflows and outflows must now be reported.
Thursday, 11/08/2022 | 08:46 GMT
by
Matti Williamson
ADVERTISEMENT
Guest post
CryptoCurrency
Guest post
Gensler Wants More Funds for the SEC to Protect Crypto Investors Further
Gensler said that most crypto offerings come under the purview of the SEC's securities policy.
Gensler intends to use the funds to bolster the agency's resources so they can better safeguard crypto investors.
Friday, 03/06/2022 | 11:04 GMT
by
Paul Adedoyin
Institutional FX
US Regulators Probe into Morgan Stanley and Goldman Sachs Block Trades
Regulators have been investigating unusual activities in block trades for almost 3 years.
The SEC issued subpoenas to Goldman Sachs, Morgan Stanley and hedge funds.
Tuesday, 15/02/2022 | 10:24 GMT
by
Matti Williamson
Retail FX
SEC Charges Financial Advisor in $5.8 Million Fraud
German Nino stole $5.8 million from a long-standing client.
He also created fake account statements.
Tuesday, 25/01/2022 | 08:02 GMT
by
Bilal Jafar
Executive Moves
SEC Selects Corey Frayer as Senior Advisor to Gary Gensler
Frayer will advise Gensler on crypto policymaking.
Phil Havenstein and Jennifer Songer also joined Gensler’s executive staff.
Friday, 31/12/2021 | 06:33 GMT
by
Bilal Jafar
ADVERTISEMENT
FinTech
Valkyrie Launches VBB ETF to Allow Investors Gain Exposure to Bitcoin
VBB wants to offer investors exposure to publicly traded companies that hold Bitcoin.
The product will give investors indirect exposure to Bitcoin.
Thursday, 16/12/2021 | 06:50 GMT
by
Nicholas Otieno
Executive Moves
FTX US Hires Mark Wetjen as the New Head of Policy and Regulatory Strategy
Wetjen brings extensive experience in the practice of law, policy making, regulatory strategy and exchange operations.
Tuesday, 02/11/2021 | 14:35 GMT
by
Tom Hazan
News
Bitcoin and Other Cryptocurrencies Are Speculative Assets, Says SEC Chair
Gary Gensler highlighted some regulatory gaps regarding the crypto market.
Thursday, 05/08/2021 | 05:35 GMT
by
Bilal Jafar
Thought Leaders
SEC vs. Ripple: Why It Affects Us All
What happens next in the SEC vs. Ripple case could send shockwaves through the crypto industry.
Tuesday, 20/07/2021 | 09:25 GMT
by
Finance Magnates Staff
ADVERTISEMENT
CryptoCurrency
XRP Soars 38% after Key Legal Wins
XRP price has risen around 550% so far in 2021.
Sunday, 11/04/2021 | 06:57 GMT
by
Finance Magnates Staff
Next
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
{
|
}