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Securities and exchange commission
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
Why Financial Literacy is Key to Helping Underbanked Populations
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
Why Financial Literacy is Key to Helping Underbanked Populations
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Regulation
Nasdaq and FINRA to Raise Reporting Fees for Dark Pool Trades
2018-08-15T09:18:16.000+02:00
The raised prices are in response to higher operational costs and off-exchange trading volumes, a regulatory filing said.
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Regulation
SEC Updates Warning List, Adds 29 Unauthorized Firms
2018-08-08T15:27:14.000+02:00
Out of the 29 companies, 16 are soliciting entities, four are clone firms and nine are fake regulators.
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FDCTech Secures Public Listing Status by SEC
2018-08-08T08:02:31.000+02:00
FDCTech filed its S1 registration statement with the SEC in November of last year
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Regulation
SEC Investigates JPMorgan Over Mishandling of ADRs
2018-08-03T17:40:25.000+02:00
The SEC has probed, fined several Wall Street banks including Bank of New York Mellon, Citigroup, Deutsche Bank.
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News
ICOs Account for Less Than 2% of US Securities Lawsuits
2018-07-26T14:07:07.000+02:00
Heavy press coverage notwithstanding, ICO projects are defendants in only 12 of 750 securities lawsuits.
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Regulation
SEC to Tighten Regulation for Dark Pools
2018-07-19T13:43:43.000+02:00
The US regulator voted unanimously to enhance the operational transparency and regulatory oversight on dark pools.
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US Regulator Asks to Be Informed if Member Businesses Use Cryptocurrency
2018-07-11T10:30:08.000+02:00
Relevant activities include mining and acceptance of cryptocurrency from customers.
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Regulation
CBOE Global Markets Applies for New Bitcoin ETF License
2018-07-09T08:30:51.000+02:00
Although previous applications have been rejected, this latest proposal for a Bitcoin ETF looks to have a better chance.
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Regulation
Credit Suisse to Pay $77 Million for Bribery Charges
2018-07-06T09:58:39.000+02:00
The bank has been charged with obtaining business in Asia by hiring people connected to influential Chinese officials.
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Tokens Sold by Centra Tech Are Officially Judged to Be Securities
2018-06-28T10:21:25.000+02:00
The defendants do not dispute the definition; they may have bigger things to worry about.
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Simon Golstein
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Prometheum to Launch First SEC-Compliant ICO Trading Platform
2018-06-20T12:15:07.000+02:00
Prometheum anticipates it will be the first company to offer a fully SEC-complaint ICO trading platform under Regulation A+.
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Institutional FX
Merrill Lynch Fined $42 Million by SEC for Misleading Clients Over Orders
2018-06-20T09:01:30.000+02:00
The wealth manager told clients it was executing orders internally when they were really being passed on to other broker-dealers
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News
"This Will Not Stand!" McAfee Rails Against SEC Over Cryptocurrency
2018-06-15T12:54:15.000+02:00
Another outburst from the crypto enthusiast came after the SEC chairman said that cryptocurrencies are securities
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Huobi Launches Cryptocurrency-Backed ETF
2018-06-04T16:03:56.000+02:00
Retail investors with minimal amount are welcome to subscribe to this fund.
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SEC Stops Titanium ICO, But After Defrauding Investors out of $21 Million
2018-05-30T01:27:23.000+02:00
Titanium falsely claimed that it had signed big names as future contacts including PayPal, Boeing, and Walt Disney.
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Regulation
SEC Charges Alternative Investment Fund Over $21 million Fraud
2018-05-17T09:13:04.000+02:00
Brent Borland told clients their money would be going towards a construction project in Belize
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Regulation
SEC Whistleblower Office Issues One More Award, Hands Out $2.1M to Tipster
2018-04-12T23:31:20.000+02:00
This brings the whistleblower program’s total endowment to approximately $266 million.
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Analysis: How Will Regulators Handle the Growing ICO Market?
2018-04-04T12:37:01.000+02:00
In Q1 2018, firms raised over $5b via ICOs - 31 percent more than in all of 2017 combined
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Regulation
Equifax Former CIO Hit by Lawsuit Over Alleged Insider Trading
2018-03-14T18:17:56.000+02:00
Jun Ying exercised all of his vested stock options and then sold the shares, reaping proceeds of nearly $1 million.
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Thailand to Empower the SEC with Crypto Regulatory Powers
2018-03-12T15:26:21.000+02:00
Though a royal decree is needed, the new law is likely to be finalized within a month.
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News
Steven Seagal-Endorsed ICO Receives Shut Down Order from NJ State Authority
2018-03-08T15:02:36.000+02:00
This ICO was previously accused of being an MLM scheme by many experts.
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Analysis: The SEC is Dropping the Hammer on ICOs
2018-03-07T12:37:39.000+02:00
Myriad subpoenas and new compliance requirements may imply that federal regulation is imminent.
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Bitcoin-Backed ETF Proposals Facing Regulatory Hurdles
2018-01-10T14:51:58.000+02:00
SEC’s concerns about the liquidity and valuation are forcing managers to withdraw their proposals.
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SEC Temporarily Suspends Trading of a Blockchain Firm’s Stock
2018-01-09T12:33:39.000+02:00
In December, the shares of this firm soared from $9 to $87 within a few days.
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News
Horizons ETF to Seek SEC Approval for a Blockchain-Based ETF Fund
2017-11-29T16:20:27.000+02:00
Two other ETF firms filled for SEC’s approval to create blockchain investment product.
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