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
>
Us 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
EXANTE Trading Platform: Sanctions, Investor Protection, and More
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
EXANTE Trading Platform: Sanctions, Investor Protection, and More
Thought Leadership
ADVERTISEMENT
US SEC
Search for a tag
Retail FX
WhatsApp Compliance: Self-Reporting Drives Regulatory Change Initiation
The SEC is pushing for cultural change in compliance, focusing on self-reporting.
Firms like Perella Weinberg and Huntington benefited from self-reporting, receiving lower penalties.
Monday, 15/04/2024 | 13:10 GMT
by
Harriet Christie
Binary Options
Court Orders $204.6 Million Penalties in CFTC Binary Options Case
The defendants were found guilty of illegal binary options trading and fraudulent practices.
They are permanently barred from CFTC registration and trading on any registered entity.
Thursday, 14/03/2024 | 17:36 GMT
by
Tareq Sikder
CryptoCurrency
US District Court Closes Case on Alleged Crypto Asset Trading Scheme
The SEC alleged privileged information was shared by a former Coinbase manager.
Sameer Ramani has been ordered to pay $817,602 in disgorgement and a $1,635,204 civil penalty.
Monday, 11/03/2024 | 15:57 GMT
by
Tareq Sikder
CryptoCurrency
Kraken Fires Back: Challenges SEC Lawsuit as Regulatory Overstep
The testimony delivered on May 10, 2023, highlighted inadequate digital asset industry regulation.
The firm disputes the SEC's token-contract stance citing a lack of buyer-issuer agreement.
Friday, 23/02/2024 | 07:48 GMT
by
Tareq Sikder
CryptoCurrency
Texas Crypto Company Lejilex Throws Down Gauntlet against SEC
Last year, the company aimed to list digital assets, including those contested by Coinbase and Binance.
Previous rulings on Ripple Labs and Terraform Labs did not address the applicability of the doctrine to crypto.
Thursday, 22/02/2024 | 07:34 GMT
by
Tareq Sikder
CryptoCurrency
South Korean Financial Watchdog Turns to SEC for Bitcoin ETF Guidance
The FSS chief has planned to visit major financial markets like New York in 2024.
Earlier, South Korea's President’s office challenged FSC on Bitcoin ETFs.
Monday, 05/02/2024 | 09:50 GMT
by
Tareq Sikder
Retail FX
Regulators Flex Tech Muscle: Report Reveals Global Surge in Financial Fines
The SEC and CFTC jointly imposed $9.2 billion in penalties.
The FCA experienced a seven-year low with only eight fines totaling £52.8 million.
Thursday, 25/01/2024 | 12:05 GMT
by
Tareq Sikder
ADVERTISEMENT
News
Binance Faces Legal Showdown as Judge Questions SEC Lawsuit Dismissal Request
Last June, the SEC accused Binance's US arm of inflating volumes, diverting funds, and providing misleading information.
The firm settled for $4.3 billion with the DOJ and CFTC over illicit finance breaches last year.
Monday, 22/01/2024 | 17:42 GMT
by
Tareq Sikder
CryptoCurrency
Binance.US CEO Slams SEC's Approach to Digital Asset Regulation in Op-Ed
The CEO criticizes agency's shift from core principles.
He sees internal disagreements as a sign of broader challenges in the regulatory landscape.
Friday, 19/01/2024 | 16:56 GMT
by
Tareq Sikder
CryptoCurrency
SEC Delays Fidelity's Ether ETFs, Direxion Steps into Bitcoin Arena
The SEC delays Fidelity's Ether ETF decision to March 5, 2024, for further evaluation.
Industry opinions differ on the likelihood of the SEC's approval for spot Ether ETFs.
Friday, 19/01/2024 | 10:27 GMT
by
Tareq Sikder
CryptoCurrency
Coinbase and SEC Lock Horns in Landmark Federal Court Hearing
The crypto community is watching the case for clarity on the SEC's digital asset jurisdiction.
In June, the SEC sued Coinbase, alleging the exchange traded 13 unregistered securities.
Wednesday, 17/01/2024 | 12:53 GMT
by
Tareq Sikder
CryptoCurrency
Ripple Delays IPO Plans Citing Hostile US Regulator
The firm may reconsider a US listing with a change in SEC leadership.
Other firms, like Circle, are pursuing public listings during a positive year for cryptocurrencies.
Wednesday, 17/01/2024 | 10:15 GMT
by
Tareq Sikder
Retail FX
SEC Charges JP Morgan $18 Million for Obstructing Client Whistleblowing
The firm barred retail clients from contacting the SEC through confidentiality agreements from March 2020 to July 2023.
The firm has agreed to pay a civil penalty of $18 million without admitting or denying findings.
Tuesday, 16/01/2024 | 14:20 GMT
by
Tareq Sikder
CryptoCurrency
SEC Escalates Ripple Legal Battle, Demands Financial Documents
The regulator has pushed the firm to disclose proceeds from institutional sales.
The firm admits $729M pre-complaint profits, pledges compliance, and disputes court injunction.
Friday, 12/01/2024 | 09:49 GMT
by
Tareq Sikder
ADVERTISEMENT
CryptoCurrency
BlackRock's Bitcoin ETF Takes the Lead in Historic Pre-market Debut
iShares Bitcoin Trust soared 22% on pre-market trading.
Grayscale's Bitcoin Trust (GBTC) debuted with a gain of 2%.
Thursday, 11/01/2024 | 20:23 GMT
by
Jared Kirui
CryptoCurrency
Goldman Sachs Considers Bitcoin ETF Collaboration with BlackRock, Grayscale: Report
SEC's approval of spot Bitcoin ETFs could pave the way for more institutional involvement in crypto.
This authorization is expected to change crypto investments and the regulatory landscape.
Wednesday, 03/01/2024 | 20:40 GMT
by
Jared Kirui
FinTech
SEC Charges Dozy Mmobuosi and Affiliated Entities in Fraud Scheme
Since 2019, Mmobuosi allegedly fabricated financial statements.
The regulator seeks legal remedies, including disgorgement, penalties, and bonus recovery.
Monday, 18/12/2023 | 15:02 GMT
by
Tareq Sikder
CryptoCurrency
SEC Rejects Coinbase's Call for Crypto-Specific Regulations, Citing Existing Laws
Gary Gensler rejected claims that identifying crypto asset issuers is unfeasible.
He emphasized the crypto market's limited share in the $110 trillion, acknowledging its vulnerability to fraud.
Friday, 15/12/2023 | 17:51 GMT
by
Tareq Sikder
CryptoCurrency
Binance and Zhao Navigate Legal Waters: Responding to SEC's DOJ Integration
Binance Opposes SEC's Inclusion of $4.3 Billion Guilty Plea, Citing Procedural Errors.
On June 5, 2023, it faced accusations of mishandling assets and violating laws.
Wednesday, 13/12/2023 | 10:54 GMT
by
Tareq Sikder
Institutional FX
CLS Navigates Regulatory Changes: A Potential Delay in FX Trade Settlements
A resolution on the possible delay is anticipated by the first quarter of 2024.
Without adjustments, CLS anticipates $65 billion daily from asset managers missing the deadline.
Tuesday, 05/12/2023 | 10:37 GMT
by
Tareq Sikder
CryptoCurrency
Crucial Bitcoin ETF Decision Looms as SEC Engages Asset Managers
The organization met with Grayscale to discuss transforming the Grayscale Bitcoin Trust into an ETF.
The officials held discussions with representatives from BlackRock and Nasdaq as well.
Friday, 01/12/2023 | 10:28 GMT
by
Tareq Sikder
ADVERTISEMENT
News
SEC Receives Grayscale's Amended Filing for Spot Bitcoin ETF
Discussions between Grayscale, the SEC, and NYSE Arca fuel optimism for the ETF's approval.
Earlier, the D.C. Court of Appeals found the SEC made an error in rejecting Grayscale's Bitcoin ETF.
Thursday, 23/11/2023 | 18:07 GMT
by
Tareq Sikder
Institutional FX
SEC Levies $79 Million in Penalties on Brokerage Firms for Recordkeeping Lapses
Investigations found off-channel communications, including personal text messages, at 10 firms.
Interactive Brokers faces a $35 million fine.
Tuesday, 21/11/2023 | 16:08 GMT
by
Tareq Sikder
CryptoCurrency
Coinbase Taps National Security Experts to Navigate Crypto's Regulatory Landscape
Mark Esper, a former US Defense Secretary, contributes expertise in security and government operations to the council.
Frances Townsend, a former Homeland Security advisor to President George W Bush, provides security expertise.
Tuesday, 07/11/2023 | 18:55 GMT
by
Tareq Sikder
CryptoCurrency
SEC Pushes for Summary Judgment: Alleging Do Kwon and Terraform Sold Securities
In response, the defense team has asserted that the SEC has failed to prove that they were offering securities.
Kwon was arrested in March in Montenegro with forged documents.
Friday, 03/11/2023 | 13:41 GMT
by
Tareq Sikder
See more
Next
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
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
{
|
}