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Securities and Exchange Commission

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News

SEC Seeking Blockchain Data to Study Crypto Market

  • The agency requested the interested blockchain data providing companies to submit their responses by February 14.
Monday, 04/02/2019 | 08:11 GMT by Arnab Shome
Regulation

Almost 300 ICO Projects Use Form D System to get SEC Approval

  • By only offering their products to accredited investors, companies could bypass a lot of regulatory stumbling blocks.
Friday, 11/01/2019 | 16:41 GMT by David Kimberley
News

US Congressman: CFTC, Not SEC, Should Regulate Crypto

  • Soto introduced a bipartisan bill last month to exclude crypto from standard securities law.
Friday, 11/01/2019 | 08:51 GMT by Arnab Shome
News

Winklevoss Twins Host Reddit AMA, Maintain Faith in Bitcoin

  • The brother confirmed their commitment to introduce Bitcoin ETFs in the US.
Tuesday, 08/01/2019 | 09:32 GMT by Arnab Shome
News

Philippine SEC Delays ICO Regulations at Shareholders' Request

  • The Philippine Securities and Exchange Commission has not set a new due date for the regulations.
Thursday, 03/01/2019 | 06:09 GMT by Rachel McIntosh
Regulation

US Lawmakers Seek to Exclude Crypto from Securities

  • The bill will redefine digital assets amending the age-old definition of securities.
Friday, 21/12/2018 | 09:41 GMT by Arnab Shome
ICOs

Pantera Secures Two-Third of Its $175 Million Funding Target

  • Despite the inflow, the firm faces backlash as 25 percent of its investments might be non-compliant with SEC regulations.
Thursday, 20/12/2018 | 08:26 GMT by Arnab Shome
Executive Moves

Interactive Brokers Names John Damgard as New Director

  • Damgard joins the firm to fill the vacancy left by Kenneth Winston, whose resignation is effective from December 31, 2018.
Tuesday, 04/12/2018 | 07:52 GMT by Celeste Skinner
News

Jay Clayton: ICOs Are Subject to SEC Regulation

  • The SEC Chairman also discussed problems the regulator has with a Bitcoin ETF
Tuesday, 27/11/2018 | 10:30 GMT by David Kimberley
Technology

Broadridge Announces Broker-Dealer Solution for SEC Rule 30e-3

  • The website will launch on January 1, 2019, and will help broker-dealers manage shareholder preferences.
Monday, 26/11/2018 | 14:52 GMT by Celeste Skinner
Executive Moves

Bitfury Group Adds Antoine Dresch to its Board of Directors

  • Former SEC commissioner Annette Nazareth is also joining the company’s advisory board.
Wednesday, 21/11/2018 | 11:22 GMT by Celeste Skinner
Regulation

ASIC Exposes Investment Scam, Court Freezes Assets

  • Kenneth Charles Grace and his companies managed to make more than $16 million from more than 50 investors.
Friday, 02/11/2018 | 07:16 GMT by Celeste Skinner
ICOs

SEC-Compliant ICOs Could Usher in a New Era for Investors

  • The new era of ICOs will focus on delivering real and long-term value rather than making a quick buck.
Monday, 29/10/2018 | 14:53 GMT by FM Contributors
Products

Record Enlists Benchmark Provider New Change FX to Reduce Transaction Costs

  • New Change FX calculates an FCA-regulated independent mid-rate that traders can measure against.
Wednesday, 26/09/2018 | 12:48 GMT by Celeste Skinner
Regulation

Ex-CFO of Bankrate Imprisoned for Securities and Accounting Fraud

  • The fraud resulted in shareholder losses of more than $25 million.
Wednesday, 26/09/2018 | 08:52 GMT by Celeste Skinner
Brokers

Heightened Supervision Measures are Lacking Amongst Broker-Dealers

  • An examination found some of its members have no heightened supervision measures in place at all.
Wednesday, 26/09/2018 | 07:36 GMT by Celeste Skinner
Regulation

ICOs are Covered by Securities Law, US Judge Rules

  • The judge wrote that the securities law needs to be interpreted “flexibly”.
Wednesday, 12/09/2018 | 07:16 GMT by Celeste Skinner
Regulation

SEC Prohibits Trading in Two Cryptocurrency ETFs

  • The American regulator says that there is confusion surrounding Bitcoin Tracker One and Ether Tracker One.
Monday, 10/09/2018 | 08:54 GMT by David Kimberley
News

SEC Awards $54 Million to 2 Whistleblowers to Ramp Up Regulatory Enforcement

  • The SEC has intensified its efforts to investigate private companies, including Elon Musk's Tesla.
Friday, 07/09/2018 | 06:11 GMT by Rachel McIntosh
Regulation

SEC Hits Dutch Asset Manager AEGON with $98 Million Fine

  • Aegon had discovered errors in certain investment strategies developed by a former portfolio manager.
Monday, 27/08/2018 | 19:11 GMT by Aziz Abdel-Qader
Regulation

SEC Charges 5 for Selling Securities of Ponzi Scheme Woodbridge

  • The accused are Barry M. Kornfeld, Ferne Kornfeld, Lynette M. Robbins, Andrew G. Costa, Albert D. Klager, and their companies.
Monday, 20/08/2018 | 18:33 GMT by Celeste Skinner
Brokers

FINRA Fines Interactive Brokers $5.5 Million for Violating SEC Regulation

  • The broker was charged with supervisory failings regarding naked short positions for a period of at least three years.
Monday, 20/08/2018 | 16:40 GMT by Celeste Skinner
News

When Will We See a Bitcoin ETF on the Market? Experts Weigh In

  • Last month, the SEC rejected another application for a Bitcoin ETF. Is an approval on the horizon?
Wednesday, 15/08/2018 | 10:21 GMT by Rachel McIntosh
Regulation

Nasdaq and FINRA to Raise Reporting Fees for Dark Pool Trades

  • The raised prices are in response to higher operational costs and off-exchange trading volumes, a regulatory filing said.
Wednesday, 15/08/2018 | 07:18 GMT by Celeste Skinner
Regulation

SEC Updates Warning List, Adds 29 Unauthorized Firms

  • Out of the 29 companies, 16 are soliciting entities, four are clone firms and nine are fake regulators.
Wednesday, 08/08/2018 | 13:27 GMT by Celeste Skinner
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