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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
Andrew Biggs Appointed CEO of Finalto Trading
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
Andrew Biggs Appointed CEO of Finalto Trading
Thought Leadership
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Securities and Exchange Commission
Search for a tag
Institutional FX
BNY Mellon Investment Adviser to Pay a $1.5 Million Penalty
2022-05-23T21:42:00.000+02:00
The US SEC charged BNY Mellon Investment Adviser on Monday.
The case occurred between July 2018 to September 2021.
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Institutional FX
Wells Fargo Advisors Agrees to Pay $7m to Settle AML Charges
2022-05-20T18:49:18.637+02:00
Wells Fargo failed to file at least 34 SARs.
The charge is the second Bank Secrecy Act action against the broker in five years.
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Brokers
US SEC Charges Allianz Global Investors with Multibillion-Dollar Fraud
2022-05-17T21:43:00.000+02:00
Allianz Global Investors and three former senior portfolio managers are involved.
Investors agreed to pay over $1 billion to resolve charges.
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CryptoCurrency
Despite Implicit Ban, Nigeria Rules Crypto as Securities; Can It Stand?
2022-05-16T23:55:43.903+02:00
Digital token issuers cannot raise more than N10 billion ($25 million) within a year.
Critics say rules harsh to local industry.
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Regulation
Grayscale Held a Private Meeting with the US SEC, Report Says
2022-05-12T01:41:00.000+02:00
The digital asset manager is persuading the authority to approve its Bitcoin fund.
Grayscale's application is due to be approved or rejected by the SEC on 6 July.
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Regulation
SEC Strengthens Crypto Enforcement Unit, Adds 20 New Roles
2022-05-03T12:48:03.988+02:00
The unit will now have 50 dedicated positions.
It was established in 2017 and took action against over 80 crypto-related violators.
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News
US SEC Dismantles Crypto Securities Fraudulent Offering
2022-04-29T18:28:00.000+02:00
Steven Chiang, Eric Tippetts, James Hardy and Maurice 'Butch' Chelliah were charged.
Defendants allegedly created some companies to run the fraudulent schemes.
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Institutional FX
US Regulators Charge Archegos Capital for $10 Billion Swap Loss
2022-04-27T20:10:35.021+02:00
The SEC says its investigation is ongoing.
The CFTC asks for restitution for defrauded swap counterparties.
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Retail FX
US SEC Flags 58 Unregistered Firms, 11 Impersonators, 1 Fake Regulator
2022-04-26T15:42:07.152+02:00
SEC says inclusion in list does not mean violation of US federal securities laws.
The list is regularly updated by the SEC’s Office of Market Intelligence, Others.
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Retail FX
US SEC Dismantles $194 Million Global Pump and Dump Scheme
2022-04-18T23:14:00.000+02:00
The scheme covered three continents.
The defendants are accused of participating in multi-year fraudulent penny stock schemes.
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News
Ripple Lawyer Claims “A Very Big Win” against SEC in Court
2022-04-13T12:14:16.140+02:00
The judge criticized SEC for flip-flopping on its decision.
The SEC filed a court case against Ripple in December 2020.
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Executives
OASB Director Martha Legg Miller to Leave the US SEC
2022-03-24T21:41:00.000+02:00
Sebastian Gomez Abero will serve as Deputy Director of the Office.
She has been working at the OASB since December 2018.
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Regulation
US SEC Delays Decision on Bitcoin ETFs by WisdomTree and One River
2022-03-21T21:17:00.000+02:00
The regulator will make a decision by May 15 on WisdomTree Bitcoin Trust.
A notice on the delay has been made official via SEC's website.
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Retail FX
SEC Announces Fraud Charges against 5 Individuals in $58 Million Scheme
2022-03-16T09:56:31.695+02:00
The individuals were allegedly running a call center.
They misled investors through dodgy tactics.
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Regulation
US Authorities Charge Siblings in $124 Million Crypto Fraud Case
2022-03-08T23:32:00.000+02:00
The US Attorney for the Southern District of New York Office arrested John Barksdale.
The siblings are accused of running a $124 million crypto fraud scheme.
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News
SEC Investigates NFTs Market over Concerns of Illegal Offerings
2022-03-03T10:54:23.256+02:00
The regulator is primarily concerned about fractional NFTs.
Around $44 billion in crypto were sent to NFT-linked Ethereum addresses in 2021.
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News
SEC Probing Binance US’ Ties with Two Affiliate Market Makers
2022-02-16T08:47:46.394+02:00
Documents show that Binance CEO controls both the market-making entities.
The regulator is now seeking detailed information from the crypto exchange.
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News
BlockFi to Pay $100 Million for Settlement with SEC and States
2022-02-14T08:45:16.147+02:00
The platform will pay $50 million to the SEC and the rest to state regulators.
It cannot open new accounts for most Americans.
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Institutional FX
US SEC Announces Proposals to Tackle Risks in Clearance and Settlements
2022-02-10T11:32:27.605+02:00
The SEC made proposals on reducing risks in clearance and settlements.
The commission proposes the need to shorten the standard settlements cycle.
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Retail FX
Robinhood Investors to Receive Another $6.55M from SEC-Collected Fine
2022-02-01T11:14:43.696+02:00
The SEC fined Robinhood $65 million for securities law violations.
5,783 eligible investors will receive proceeds from the latest distribution.
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FinTech
SEC Approves BSTX to Operate as Blockchain-Based Securities Exchange
2022-01-30T12:13:01.817+02:00
The US SEC has approved BSTX’s exchange proposal.
BSTX will create a national securities exchange using blockchain.
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News
SEC Probes Crypto Firms for Offering Lending Products
2022-01-27T09:28:29.337+02:00
The federal regulator is investigating three companies.
Many state regulators took enforcement actions against crypto lending firms.
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News
US SEC Charges Australian Man for $41M ICO Fraud
2022-01-07T09:23:25.192+02:00
The ICO was unregistered and diverted funds without disclosing them to the investors.
The issuer has already consented to the court orders.
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Brokers
eToro Expects to Close Q4 2021 with 33% Higher Commission Revenue
2021-12-22T10:00:10.819+02:00
The company is expecting the commissions to be between $285 million and $295 million.
It added 2.1 million new users in Q4 alone.
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Institutional FX
Nikola to Pay $125 Million to Settled SEC Fraud Charges
2021-12-22T09:11:48.564+02:00
The electric truck manufacturer, Nikola agreed to pay millions to settle fraud charges.
The SEC accuses Nikola of defrauding investors.
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