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Institutional FX

SEC Unveils New Rules to Boost Security-Based Swap Market Transparency

  • Entities that qualify as SBSEFs must apply for registration with the SEC.
  • The SEC seeks to align the new regulations with the CFTC.
Thursday, 02/11/2023 | 19:54 GMT by Jared Kirui
CryptoCurrency

SafeMoon Executives Hit with SEC Charges for Alleged "Massive Fraudulent Scheme"

  • The regulator is accusing SafeMoon's team of unregistered sale of SFM tokens.
  • SFM price surged over 55,000 percent in 2021.
Wednesday, 01/11/2023 | 21:19 GMT by Jared Kirui
Retail FX

Gain Capital’s $236 Million Deal That Led to an Insider Trading Scandal

  • The former executive at StoneX Financial has settled insider trading charges.
  • They stem from trading activities involving GAIN Capital Holdings before its acquisition.
Tuesday, 31/10/2023 | 09:30 GMT by Damian Chmiel
Retail FX

SEC to Prohibit Volume-Based Transaction Pricing among Stock Brokers

  • The regulator had introduced a new proposal aimed at enhancing transparency.
  • The SEC seeks to level the playing field for broker-dealers of all sizes.
Wednesday, 18/10/2023 | 20:37 GMT by Jared Kirui
Retail FX

News Nuggets | 4 October: SEC Halts Ponzi Scheme; FCA Updates Warning List

  • Also, ClearBank broadens its Board; ABN Amro sells a stake in EMS to Fiserv.
  • Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Wednesday, 04/10/2023 | 09:28 GMT by Finance Magnates Staff
Institutional FX

SEC's $79 Million Crackdown: 10 Firms Hit with Recordkeeping Failures

  • The SEC charged the financial firms for alleged electronic communication failures.
  • The regulator discovered widespread off-channel communications within the companies.
Friday, 29/09/2023 | 20:52 GMT by Jared Kirui
CryptoCurrency

Gemini’s Founders Face Scrutiny over $280M Crypto Withdrawal amid Genesis Crisis

  • This move raised questions about whether the funds were personal or corporate assets.
  • The timing of their withdrawal, just before the Genesis crisis, has raised controversy.
Thursday, 28/09/2023 | 17:06 GMT by Jared Kirui
CryptoCurrency

Do Kwon Fights Back: Opposes SEC's Terraform Labs Probe

  • Kwon's lawyers argue that bringing him to the US for questioning is impossible.
  • The SEC seeks to interview Kwon regarding the collapse of TerraUSD stablecoin.
Thursday, 28/09/2023 | 14:14 GMT by Jared Kirui
Retail FX

News Nuggets | 28 September: NiceHash Exits UK; CFTC Awards Whistleblower over $300,000

  • Also, ASIC secures financial penalties for reporting failures; SEC charges for insider trading.
  • Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Thursday, 28/09/2023 | 08:44 GMT by Damian Chmiel
CryptoCurrency

SEC under Fire: Congress Considers Subpoena for FTX Documents

  • The US House Committee has accused the SEC of a lack of transparency in FTX's case.
  • Gensler has defended the Commission's actions, saying they protect investors.
Wednesday, 27/09/2023 | 18:46 GMT by Jared Kirui
Institutional FX

Wall Street Faces SEC Heat over WhatsApp Use

  • The regulator has expanded its probe into Wall Street's use of private messaging apps.
  • The Institution collected thousands of staff messages from major investment firms.
Monday, 25/09/2023 | 17:55 GMT by Damian Chmiel
CryptoCurrency

Citadel Securities Slapped with $7M Fine for Coding Error, SEC Says

  • The coding error allegedly led to millions of mismarked orders over five years.
  • Citadel has agreed to censure, penalty, and remediation in the settlement.
Friday, 22/09/2023 | 17:42 GMT by Jared Kirui
CryptoCurrency

Binance.US Clashes with SEC in Ongoing Probe: Denies Use of Ceffu

  • The SEC is investigating Binance’s custody (Ceffu) amid concerns over asset transfers.
  • Binance.US has denied using Ceffu or Binance Custody, contradicting prior claims.
Tuesday, 19/09/2023 | 19:15 GMT by Jared Kirui
CryptoCurrency

SEC Demands Extensive Probe into Binance.US: Asset Custody under Scrutiny

  • Binance's use of the custody platform Ceffu caused concerns about moving funds abroad.
  • Binance.US faces investigations over alleged suspicious asset custody services.
Monday, 18/09/2023 | 18:12 GMT by Jared Kirui
Retail FX

News Nuggets | 13 September: SEC Charges Virtu, YieldStreet; HK Warns against Crypto Firm

  • Also, Frangou leaves payabl.; Simpson joins Broadridge; TS Imagine partners with eflow.
  • Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Wednesday, 13/09/2023 | 09:32 GMT by Finance Magnates Staff
CryptoCurrency

Franklin Templeton Joins BlackRock and Fidelity in Spot Bitcoin ETF Pursuit

  • Bitcoin surged this year following growing institutional interest in spot Bitcoin ETFs.
  • Companies have shifted focus to Ethereum ETFs amid delayed approvals by the SEC.
Tuesday, 12/09/2023 | 19:35 GMT by Jared Kirui
CryptoCurrency

Invesco, WisdomTree, Valkyrie Left Hanging as SEC Delays Bitcoin ETF Ruling

  • The SEC delays its decision on spot Bitcoin ETF proposals.
  • The postponement comes after a court ruling to review a similar application.
Friday, 01/09/2023 | 07:37 GMT by Damian Chmiel
Retail FX

News Nuggets | 30 August: SEC Charges Citigroup; FMA and FCA Warn against Clone Websites

  • Also, Bybit launches revamped 'Launchpad 3.0'; Nasdaq Announces CFO Transition.
  • Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Wednesday, 30/08/2023 | 09:33 GMT by Finance Magnates Staff
CryptoCurrency

Is the First Spot BTC ETF Coming? Grayscale Triumphs over SEC in Court

  • The crypto asset manager launched a legal challenge against the SEC last year.
  • Michael Sonnenshein, the CEO of Grayscale, said the firm is "actively reviewing" the ruling.
Tuesday, 29/08/2023 | 20:32 GMT by Solomon Oladipupo
CryptoCurrency

Gemini Fires Back: Challenges SEC’s 'Inconsistent' Claims in Lawsuit

  • The crypto exchange argues that the SEC failed to clearly identify its claims.
  • Gemini has also highlighted the SEC’s shifting argument in the reply memorandum.
Monday, 21/08/2023 | 08:10 GMT by Jared Kirui
CryptoCurrency

SEC Gets Judge’s Nod to Argue for Appeal against Landmark Ripple Ruling

  • Ripple secured a 'partial victory' against the SEC in mid-July.
  • However, the SEC believes the case deserves an “interlocutory review.”
Thursday, 17/08/2023 | 22:09 GMT by Solomon Oladipupo
CryptoCurrency

Binance.US Fights Back: Motion for Protective Order Referred to Magistrate Judge

  • The crypto exchange is seeking a protective order against the SEC's 'fishing expedition'.
  • The regulator is demanding custody information from Binance.US.
Thursday, 17/08/2023 | 10:12 GMT by Jared Kirui
CryptoCurrency

ETF Speculation and Regulatory Battles: Is Coinbase the Savior or the Villain of Crypto?

  • Coinbase plans to buy back $150M of its corporate bonds following a positive Q2 earnings report.
  • The crypto market, including Bitcoin, appears calm but maybe ready for a significant move.
Monday, 14/08/2023 | 09:40 GMT by Sam White
CryptoCurrency

SEC Fines Bittrex $24M in Settlement for Unregistered Securities Charges

  • The sum constitutes disgorgement, prejudgment interest, and civil money penalties.
  • In May, Bittrex filed for bankruptcy.
Friday, 11/08/2023 | 10:55 GMT by Jared Kirui
CryptoCurrency

FTX's Debtors Battle for Asset Control amid Restructuring Plans

  • The exchange's debtors have opposed plans to invest USD $2.6 billion in Treasuries.
  • The disagreement arrived when the exchange was planning to restart operations.
Thursday, 10/08/2023 | 15:45 GMT by Jared Kirui
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