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
AppLayer Unveils Fastest EVM Network and $1.5M Network Incentive
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
AppLayer Unveils Fastest EVM Network and $1.5M Network Incentive
Thought Leadership
ADVERTISEMENT
sec
Search for a tag
News
An "Anonymous Collective" Complains to the SEC Over DAO Hack
Could the Ethereum Foundation, Slock.it or others be held liable for the losses of the DAO?
Wednesday, 22/06/2016 | 14:27 GMT
by
Avi Mizrahi
Regulation
Former Football Star Among Athletes Duped out of $30m in Ponzi-Like Scheme
Narayan gained the athletes' trust through their charitable interests and hid multiple conflicts of interest from investors.
Wednesday, 22/06/2016 | 12:13 GMT
by
Finance Magnates Staff
Institutional FX
The $541 Million Loss that Became a Thorn in the Side of Deutsche Bank
Deutsche Bank which has been repeatedly rocked by scandals is facing one of the most turbulent transformations in its history.
Wednesday, 22/06/2016 | 09:37 GMT
by
Finance Magnates Staff
Regulation
SEC Stops Scheme Defrauding Athletes Dead in its Tracks
The SEC has charged an investment adviser with secretly siphoning millions of dollars from accounts he managed for athletes.
Wednesday, 22/06/2016 | 07:16 GMT
by
Finance Magnates Staff
Exchanges
SEC Approves IEX as National Securities Exchange with its Speed Bump Model
IEX becomes 13th National Stock Market in US as SEC approves its speed bump.
Monday, 20/06/2016 | 06:24 GMT
by
Steven Hatzakis
Institutional FX
What Gets a Banker's Email Flagged at Goldman Sachs: CNBC
CNBC has obtained a document detailing more than 180 phrases flagged by Goldman Sachs for scrutiny.
Friday, 17/06/2016 | 11:19 GMT
by
Finance Magnates Staff
Regulation
SEC Charges Hedge Fund Managers in $32m Insider Trading Scheme
Sanjay Valvani reaped unlawful profits by insider trading on tips he received from a former government official.
Wednesday, 15/06/2016 | 16:48 GMT
by
Finance Magnates Staff
ADVERTISEMENT
Crowd Funding
OTC Markets Petitions SEC to Expand Online Capital Raising to Reporting Firms
OTC Markets files petition to expand regulation A+ to SEC-reporting firms.
Friday, 10/06/2016 | 20:25 GMT
by
Steven Hatzakis
Regulation
SEC’s Leans on Whistleblower in Deutsche Bank Securities Probe
The SEC is being aided by a whistleblower who helped bring to light allegations of Deutsche Bank's mortgage bond endeavors.
Friday, 10/06/2016 | 09:01 GMT
by
Jeff Patterson
Regulation
SEC Offers $17m Whistleblower Reward in Bid to Curb Illicit Activity
The SEC has offered a $17m reward for any individual helping provide tangible assistance or tips to an investigation.
Thursday, 09/06/2016 | 18:03 GMT
by
Jeff Patterson
Regulation
SEC Charges Trader For Defrauding Investors and Hiding $16 Million Losses
The SEC is seeking a permanent injunction and the return of alleged ill-gotten gains for Park’s fraudulent trading activities.
Friday, 03/06/2016 | 08:00 GMT
by
Finance Magnates Staff
Regulation
Wall Street Broker AF&Co Settles for $300,000 with SEC over SAR filings
SEC hits Wall Street Firm AF&Co regarding failure to file Suspicious Activity Reports.
Thursday, 02/06/2016 | 05:55 GMT
by
Steven Hatzakis
Regulation
SEC Charges Ponzi Scheme Operators for Luring Middle Class Investors
The Ponzi scheme operators promised access to highly coveted investment opportunities typically reserved for the rich.
Wednesday, 01/06/2016 | 07:20 GMT
by
Finance Magnates Staff
Regulation
SEC Alleges Investment Adviser Delayed Losses to Earn Incentive Fees
SEC charges Hope Advisers Inc. over timing trades to erroneously earn fees.
Wednesday, 01/06/2016 | 06:28 GMT
by
Steven Hatzakis
ADVERTISEMENT
Regulation
U.S. Brokers Well Prepared for End of SEC Retail Forex Extension Rule
The Securities and Exchange Commission has adopted a temporary measure in 2013 as an interim extension till 31st of July 2016.
Wednesday, 25/05/2016 | 13:54 GMT
by
Victor Golovtchenko
Regulation
SEC: “We allege that Aly tried to fool the markets from a computer in Pakistan”
SEC alleges that Nauman A. Aly made false filings that led to his now-blocked profits.
Wednesday, 25/05/2016 | 06:26 GMT
by
Steven Hatzakis
Regulation
SEC Calls For Reporting Of Treasury Cash Market Transactions
The request is aimed at safeguarding the deepest and most liquid securities market in the world.
Tuesday, 17/05/2016 | 19:29 GMT
by
Finance Magnates Staff
Regulation
Six US Agencies Propose Rule to Curb Excessive Risk for Firms with Over $1b
Six agencies in the US invite the public for comment on the proposed rule.
Monday, 16/05/2016 | 20:08 GMT
by
Steven Hatzakis
Execution
SEC Announces Latest Settlement for $100k in Hacked News Story
Latest SEC settlement is with Oleksandr Makarov, bringing total recovered to $52 million.
Wednesday, 11/05/2016 | 08:14 GMT
by
Steven Hatzakis
Regulation
SEC Might Be Next To Investigate Mossack Fonseca Leak
The American watchdog is free to look at the exposed "Panama Papers" for possible cases of corruption.
Sunday, 10/04/2016 | 14:17 GMT
by
Avi Mizrahi
News
SEC Chair: Blockchain Could Replace Current Trading Clearing and Settlement
The SEC is "closely monitoring the proliferation of this technology and already addressing it in certain contexts. "
Monday, 04/04/2016 | 10:41 GMT
by
Avi Mizrahi
ADVERTISEMENT
Regulation
FXPA Seeks FX Exemption From SEC Derivatives Rules
The FXPA has submitted a letter to SEC on the use of derivatives by registered investment and business development companies.
Wednesday, 30/03/2016 | 13:14 GMT
by
Finance Magnates Staff
Regulation
Mary Jo White Urges Harmonization of Broker-Dealer Rules in the US
Conflict of interest rules are to be devised by a growing number of U.S. regulatory agencies.
Tuesday, 22/03/2016 | 23:42 GMT
by
Victor Golovtchenko
Brokers
GAIN Capital Delays Annual Report over Tax Accounting Error
Misstated amounts for 2013, 2014, and Q1, Q2 and Q3 in 2015 were restated and thus causing the late filing.
Wednesday, 16/03/2016 | 21:25 GMT
by
Steven Hatzakis
Regulation
Ponzi Scheme Operator Charged For Jamaican Bridge Loans Scheme
SEC Charges Operator Of Ponzi Scheme Claiming To Offer “Bridge Loans” To Jamaican Businesses
Tuesday, 15/03/2016 | 21:35 GMT
by
Finance Magnates Staff
See more
Next
Previous
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
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
{
|
}