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Regulation

Money Makes More Tipsters Come Forward, SEC Hands Out $3m

  • SEC awarded a whistleblower $2.2 million for providing info that helped in returning millions of dollars to harmed clients.
Friday, 19/02/2021 | 19:00 GMT by Aziz Abdel-Qader
Regulation

SEC Commissioner Demands Clear Cryptocurrency Regulations

  • Hester Peirce praised the participation of new investors in financial markets.
Monday, 15/02/2021 | 06:11 GMT by Bilal Jafar
Regulation

Ripple Responds to SEC in Court, Alludes to Bias in Ether Classification

  • Ripple asks the agency to explain why it said ETH was born a security but eventually evolved into a non-security.
Friday, 29/01/2021 | 18:29 GMT by Aziz Abdel-Qader
Executive Moves

Joe Biden Names Democratic Allison Herren Lee New SEC Chief

  • Lee was nominated to the SEC in 2019 to fill the open Democratic spot on the commission once held by Kara Stein.
Thursday, 21/01/2021 | 20:01 GMT by Aziz Abdel-Qader
Regulation

SEC Distributes $1.1 Million Bounty to Five Whistleblowers

  • SEC awarded more than $100,000 to a whistleblower who provided independent analysis of publicly available material.
Friday, 08/01/2021 | 21:46 GMT by Aziz Abdel-Qader
News

Jay Clayton’s Last Day at SEC Resulted in $50 Billion Cryptocurrency Crash

  • The SEC Chairman resigned on Wednesday after his recent action against Ripple triggered a $50 billion cryptocurrency sell-off.
Thursday, 24/12/2020 | 07:26 GMT by Bilal Jafar
Regulation

SEC Announces Charges Settlement against Cormark Securities and Virtu ITG

  • Cormark agreed to pay $800,000 in penalty while SEC settled charges against Virtu ITG Canada with a $200,000 penalty.
Tuesday, 22/12/2020 | 09:14 GMT by Bilal Jafar
News

Ripple Reveals SEC Action, XRP Crashes

  • CEO Brad Garlinghouse said that the SEC is set to attack cryptocurrencies with a lawsuit against Ripple.
Tuesday, 22/12/2020 | 06:29 GMT by Bilal Jafar
Regulation

Analyst Awarded $1.1 Million under SEC Whistleblower Program

  • The tipster examined publicly available materials and then alerted the watchdog to refocus an ongoing investigation.
Friday, 13/11/2020 | 22:13 GMT by Aziz Abdel-Qader
Regulation

SEC Awards $5M to Another 4 Tipsters, Hands Out $175M in 2020 Fiscal

  • The commission has granted compensation to a total of 102 whistleblowers yet.
Thursday, 01/10/2020 | 06:23 GMT by Arnab Shome
News

SEC Sues Operator of $6.8 Million Crypto Ponzi Scheme

  • Thomas J. Gity, who was convicted for operating fraudulent fund-raising campaigns, raised $6.8 million through the scheme.
Wednesday, 30/09/2020 | 15:20 GMT by Aziz Abdel-Qader
Brokers

SEC Obtains Judgments against Operators Of Closed Broker Dealer

  • The SEC identified a group of three brokers who were barred from the brokerage industry for engaging in unauthorized trading.
Tuesday, 25/08/2020 | 17:06 GMT by Aziz Abdel-Qader
Regulation

SEC Hits Day Trader with $205K Fine in Spoofing Case

  • The SEC action centered on spoofing activity carried out by Nicholas Mejia Scrivener, a Florida resident.
Tuesday, 11/08/2020 | 15:21 GMT by Aziz Abdel-Qader
ICOs

SEC Orders Telegram to Pay $18M Fine, Refunds $1.2 Billion to Investors

  • Telegram also has to notify the SEC about any future plans to issue cryptocurrencies, digital coins, or digital tokens.
Thursday, 25/06/2020 | 16:50 GMT by Aziz Abdel-Qader
News

Court Pauses SEC's Suit Against $30M Crypto Scam Pending Criminal Case

  • The court granted a bid by federal prosecutors to stay the SEC action against the notorious hedge fund manager and his partner.
Wednesday, 24/06/2020 | 21:59 GMT by Aziz Abdel-Qader
Regulation

SEC Makes Record Whistleblower Bounty of $50 Million

  • The reward is the largest ever awarded by the SEC and easily surpasses the previous record of $39 million set back in 2018.
Thursday, 04/06/2020 | 17:57 GMT by Aziz Abdel-Qader
Analysis

Changing the Definition of “Accredited Investor” and What That Means to the Innovation Economy

  • Dagan Bora, CEO of Leyline.io, breaks down the SEC rule change
Saturday, 16/05/2020 | 14:48 GMT by Dagan Bora
Regulation

SEC Gives Whistleblower $18 Million in 7th Largest Award

  • Because of this whistleblower’s actions, harmed investors were able to recover millions of dollars in losses, says the SEC.
Tuesday, 28/04/2020 | 22:05 GMT by Aziz Abdel-Qader
Institutional FX

SEC's Awards Pipeline Not Clogged Yet, New Tipster Gets $1.6M

  • The recent rewards come as the regulator tries to recover from a dip in whistleblower performance throughout the previous year.
Monday, 23/03/2020 | 22:06 GMT by Aziz Abdel-Qader
News

From Will Smith to Steven Seagal: Celeb Investors, Crypto, & Fintech

  • Celebrities have played an interesting role in crypto and fintech spheres in the past. How is this changing?
Friday, 06/03/2020 | 14:24 GMT by Rachel McIntosh
Institutional FX

SEC Hands out $7M to Tipster Despite Calls to Cap Big Awards

  • The SEC awarded the whistleblower for “significant information” in alerting SEC staff to “serious financial abuses.”
Friday, 28/02/2020 | 20:12 GMT by Aziz Abdel-Qader
Regulation

SEC, Telegram Locked in Legal Battle as New Evidence Surfaces

  • Newly obtained documents from regulators are now in play with both sides digging in ahead of key deadlines.
Tuesday, 18/02/2020 | 21:24 GMT by Jeff Patterson
Institutional FX

SEC Fines ABN AMRO for Improper Handling of ADRs

  • The case is the result of a continuing industry-wide investigation by the SEC into abuses involving pre-released ADRs
Thursday, 06/02/2020 | 22:34 GMT by Aziz Abdel-Qader
News

WisdomTree Eying US-Regulated Stablecoin Launch

  • The firm sees digital assets as a natural extension of its ETF business.
Tuesday, 14/01/2020 | 07:08 GMT by Arnab Shome
News

United States SEC to Review Bitwise Bitcoin ETF Application

  • It's not clear what caused the SEC to put the application into review after it was initially rejected in October.
Tuesday, 19/11/2019 | 09:22 GMT by Rachel McIntosh
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