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Securities and Exchange Commission

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Regulation

US SEC Awards $11.5 Million to Two Whistleblowers in a Single Case

  • One whistleblower received around $7 million for being an initial source in the investigation.
Friday, 17/09/2021 | 23:09 GMT by Felipe Erazo
Regulation

Coinbase vs. US SEC: Could the Regulatory Discussions Escalate Further?

  • Questions arose in regulatory terms after the US SEC threatened the crypto exchange over its forthcoming Lend program.
Thursday, 09/09/2021 | 23:43 GMT by Felipe Erazo
News

SEC Plans to Sue Coinbase over Crypto Yield Program

  • The exchange announced the program but did not launch it yet.
Wednesday, 08/09/2021 | 07:35 GMT by Arnab Shome
News

SEC Is Investigating Decentralized Crypto Exchange Uniswap: Report

  • The regulator is allegedly looking into Uniswap’s marketing and investor services.
Friday, 03/09/2021 | 12:44 GMT by Arnab Shome
News

US Court Orders Ripple to Handover Slack Messages to SEC

  • Ripple shared only a fraction of the Slack messages.
Friday, 03/09/2021 | 07:51 GMT by Arnab Shome
Retail FX

SEC Fines Broker-Dealer and Advisory Firms for Cybersecurity Lapses

  • Three firms are facing a combined monetary penalty of $750,000.
Tuesday, 31/08/2021 | 08:49 GMT by Arnab Shome
Regulation

US SEC Awards $2.6 Million to Whistleblowers in Three Cases

  • Whistleblowers provided 'valuable information' in three separate cases led by the US watchdog.
Friday, 27/08/2021 | 22:01 GMT by Felipe Erazo
Retail FX

US SEC Charges Georgia Resident with Operating a $110 Million Ponzi Scheme

  • The investment adviser and his companies raised over $110 million from over 400 investors for the Ponzi scheme.
Wednesday, 25/08/2021 | 16:45 GMT by Felipe Erazo
News

SEC Settles Charges against Three BitConnect Promoters

  • The defendants consented to the judgments without admitting or denying the charges.
Friday, 20/08/2021 | 06:56 GMT by Arnab Shome
Institutional FX

US SEC Launches Application Programming Interfaces System

  • The APIs aggregate financial statement data, allowing developers to create web or mobile apps that target retail investors.
Thursday, 19/08/2021 | 22:46 GMT by Felipe Erazo
News

Kryptoin Files with the SEC for Listing an Ethereum ETF

  • The company’s application for launching a Bitcoin ETF is still under SEC’s review.
Friday, 13/08/2021 | 07:38 GMT by Arnab Shome
News

Valkyrie Seeks SEC Approval for a Bitcoin Futures ETF

  • The SEC Chair earlier said that the agency might consider approving ETFs exposed to regulated BTC futures.
Thursday, 12/08/2021 | 07:48 GMT by Arnab Shome
News

SEC Seeks ‘Terabytes’ of Slack Messaging Data from Ripple

  • Ripple already handed over a fraction of the data but refused to hand over more due to a processing error.
Tuesday, 10/08/2021 | 12:34 GMT by Arnab Shome
Exchanges

US SEC Charges Poloniex for Running an Unregistered Crypto Exchange

  • The crypto exchange had previously been red-flagged by the Ontario Securities Commission (OSC) for a similar reason.
Monday, 09/08/2021 | 16:21 GMT by Felipe Erazo
News

SEC Busts DeFi Firm for Illegally Raising $30 Million

  • The two executives have already settled with the agency.
Friday, 06/08/2021 | 16:29 GMT by Arnab Shome
Brokers

Robinhood Faces Regulatory Probe on Staff’s Meme Stock Trading

  • Both the SEC and FINRA are seeking details from the broker on multiple matters.
Wednesday, 28/07/2021 | 08:50 GMT by Arnab Shome
Institutional FX

UBS Fined $8 Million over Compliance Failures in ETP Sale

  • The investment bank settled with the SEC without agreeing or disagreeing on the charges.
Monday, 19/07/2021 | 15:14 GMT by Arnab Shome
News

Ripple to Question Former SEC Official over Ongoing XRP Lawsuit

  • The company wants to understand the policy-making process followed by the agency.
Friday, 16/07/2021 | 06:51 GMT by Arnab Shome
ICOs

US SEC Charges ICO Listing Website for Unlawfully Promoting Securities

  • The operator behind Coinschedule agreed to pay $43,000 in disgorgement and a penalty.
Wednesday, 14/07/2021 | 22:45 GMT by Felipe Erazo
Binary Options

US SEC Charges Two Individuals Involved in a Binary Options Fraud Case

  • The complaint was filed by the SEC before a federal court in the Nevada state.
Tuesday, 13/07/2021 | 22:45 GMT by Felipe Erazo
Executive Moves

Keir Gumbs Joins Broadridge as Its New Chief Legal Officer

  • Keir Gumbs will take over from Adam Amsterdam, who is retiring after almost three decades of leading the legal team.
Thursday, 08/07/2021 | 14:41 GMT by Tom Hazan
News

US SEC to Settle with BitConnect Promoters

  • The regulator will impose heavy fines on the promoters of the fraudulent scheme.
Thursday, 08/07/2021 | 07:33 GMT by Arnab Shome
ICOs

US SEC Gets Settlement in a Fraudulent and Unregistered ICO Case

  • A court will determine the terms of the settlement reached with the three individuals and the entity.
Friday, 02/07/2021 | 23:27 GMT by Felipe Erazo
Retail FX

Charles Schwab Faces SEC Probe for Robo Advisory Reporting

  • The broker is expecting an impact of the investigation on its Q2 financials.
Friday, 02/07/2021 | 12:09 GMT by Arnab Shome
Institutional FX

US SEC Orders Unregistered Broker-Dealer to Pay a $2.75 Million Penalty

  • Neovest agreed with the US SEC's cease and desist order from committing any violations of Section 15(a) of the Exchange Act.
Tuesday, 29/06/2021 | 17:15 GMT by Felipe Erazo
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