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Securities and Exchange Commission

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CryptoCurrency

"No Go to Fomo": SEC Reissues Warning Ahead of Bitcoin ETF Decision

  • The regulator first issued a warning against FOMO in January 2021.
  • The warning came when the crypto market anticipated spot Bitcoin ETF approval.
Monday, 08/01/2024 | 06:50 GMT by Arnab Shome
CryptoCurrency

SEC Sets December 29 Deadline for Spot Bitcoin ETF Filing Amendments

  • At least two companies were asked to make changes in their filings.
  • The regulator is due to decide on two filings by 10 January 2024.
Tuesday, 26/12/2023 | 05:50 GMT by Arnab Shome
Retail FX

24 Million Americans Gain Entry to Investing Market for the Elites

  • Inflation increases the number of US-accredited investors by 18.5%.
  • Many of them choose gold as an alternative investment.
Wednesday, 20/12/2023 | 15:13 GMT by Damian Chmiel
Trending

SEC Responds to Challenge to New Rules by Private Funds

  • The rules are "arbitrary, capricious ... and contrary to law" according to lobbyists.
  • The SEC said that the rules addressed opacity and conflicts of interest.
Monday, 18/12/2023 | 11:40 GMT by Louis Parks
CryptoCurrency

Crypto Compliance or Overreach? SEC's Kraken Crusade Sparks Industry Debate

  • SEC, Kraken, and the Quandary of Investor Trust
Tuesday, 21/11/2023 | 13:28 GMT by Pedro Ferreira
CryptoCurrency

SEC Sues Kraken for Registration Failure, Mixing Customers’ Funds

  • The crypto exchange denied all charges against it in a detailed blog post.
  • The charges are similar to the ones brought against Binance and Coinbase.
Tuesday, 21/11/2023 | 05:55 GMT by Arnab Shome
Retail FX

News Nuggets | 16 November: Fortex Integrates with StoneX; XS.com Appoints Country Manager

  • Wedbush Securities was fined $350,000; the SEC charged traders following a fraud valued at $1.5 million.
  • Read today's FX/CFDs, crypto and fintech sectors' dynamic news.
Thursday, 16/11/2023 | 11:17 GMT by Damian Chmiel
Retail FX

SEC Distributes $1 Billion to Harmed Investors in 2023

  • SEC escalates enforcement with 784 actions in FY23.
  • The regulator also paid out a record number of rewards to whistleblowers.
Wednesday, 15/11/2023 | 09:22 GMT by Damian Chmiel
CryptoCurrency

No Conflict of Interest: SEC Finds It Difficult to Hire Crypto Staff

  • The SEC requires new recruits to sell all crypto holdings.
  • The agency is fighting multiple high-profile legal battles with crypto firms.
Tuesday, 07/11/2023 | 05:19 GMT by Sam White
CryptoCurrency

SEC Drops Charges against Top Ripple Executives

  • The names of the CEO and Executive Chairman were mentioned in the initial lawsuit against Ripple.
  • A US court already squashed the regulatory lawsuit against the blockchain firm.
Friday, 20/10/2023 | 06:00 GMT by Arnab Shome
CryptoCurrency

Is a Grayscale Spot Bitcoin ETF Likely to Happen?

  • Is the BTC ETF inevitable?
Friday, 29/09/2023 | 12:26 GMT by Pedro Ferreira
CryptoCurrency

Binance and CEO Zhao Seek Court Approval to Dismiss SEC Lawsuit

  • They argued that the SEC overstepped its authorities with the lawsuit.
  • The lawsuit brought severe allegations, including co-mingling of client funds.
Friday, 22/09/2023 | 06:12 GMT by Arnab Shome
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
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

SEC Goes after NFTs: Podcaster to Shell Out $6.1M over “Securities” Offerings

  • The regulator says "securities" in whatever form "must be registered."
  • The watchdog previously charged Binance and Coinbase over their "securities" offerings.
Monday, 28/08/2023 | 20:09 GMT by Solomon Oladipupo
FinTech

SEC Slams Fundrise for Soliciting Clients through 200 Social Media Influencers

  • The regulator said the investment firm has agreed to pay $250K to settle the charges.
  • Financial watchdogs are increasingly cracking down on so-called 'fininfluencers'.
Tuesday, 22/08/2023 | 21:50 GMT by Solomon Oladipupo
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 Irked by SEC’s Move to Query CEO of US Affiliate

  • BAM's CEO and CFO do not have 'unique firsthand knowledge' about customer assets.
  • In other news, the SEC delayed a decision on ARK Invest's spot BTC application.
Tuesday, 15/08/2023 | 14:19 GMT by Solomon Oladipupo
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
Retail FX

SEC Freezes Assets of $50 Million Crypto Scheme

  • The scheme allegedly sold unregistered securities to the investors.
  • The defendants also lied to the investors and presented false revenue.
Friday, 04/08/2023 | 06:17 GMT by Arnab Shome
CryptoCurrency

DOJ Weighs Fraud Charges against Binance, Worried about Bank Run: Report

  • US prosecutors are contemplating alternative options such as fine payment.
  • The SEC and CFTC filed charges against the exchange in recent months.
Wednesday, 02/08/2023 | 18:02 GMT by Solomon Oladipupo
Exchanges

SEC ‘Weaponized’ XRP Quarterly Reports in Lawsuit, Ripple Says

  • The CEO, Brad Garlinghouse said Ripple might consider making changes to the reports.
  • Ripple addressed certain 'misconceptions' about the recent ruling on the case with the SEC.
Wednesday, 02/08/2023 | 13:50 GMT by Solomon Oladipupo
CryptoCurrency

SEC Alleges Hex Founder Richard Heart Illegally Raised $1B, Misappropriated $12M

  • Richard Heart and his companies allegedly embezzled $12M of investor funds.
  • The SEC recently dragged Binance and Coinbase to court, claiming illegal operations.
Monday, 31/07/2023 | 18:22 GMT by Solomon Oladipupo
Retail FX

When Algorithms Rule Finance: SEC Fears AI-Driven Conflict of Interest

  • The commission has published two proposals to adapt regulations to new technologies.
  • The regulator is concerned that AI will be used to the detriment of investors.
Thursday, 27/07/2023 | 07:34 GMT by Damian Chmiel
CryptoCurrency

New US Senate Bill Tackles Money Laundering via DeFi, Crypto ATMs

  • It wants to hold investors responsible when a DeFi service violates a sanction order.
  • It also wants crypto ATM operators to verify users.
Wednesday, 19/07/2023 | 22:22 GMT by Solomon Oladipupo
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