ADVERTISEMENT
Market news, analysis & forecast powered by
Preview Mode
News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Annual Subscription
Custom Reports
What are you looking for?
What are you looking for?
Subscribe to our News & Services
All News
Retail FX
Institutional FX
Fintech
Payments
Cryptocurrency
Executives
Thought Leadership
FMTV
Trending
Education
Forex Education
Cryptocurrency Education
Fintech Education
Industry Terms
Directory
Events
Intelligence
Quarterly Intelligence Reports
Annual Subscription
Custom Reports
About Us
Contact us
Terms of Use
Privacy
Market News
by
Subscribe to our News & Services
FM ALL News
FM Crypto
Follow us on Twitter
Follow us on Linkedin
FM Home
>
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
ADVERTISEMENT
Securities and Exchange Commission
Search for a tag
Institutional FX
US SEC Orders Unregistered Broker-Dealer to Pay a $2.75 Million Penalty
2021-06-29T19:15:16.000+02:00
Neovest agreed with the US SEC's cease and desist order from committing any violations of Section 15(a) of the Exchange Act.
T
u
e
s
d
a
y
,
2
9
/
0
6
/
2
0
2
1
|
1
7
:
1
5
G
M
T
by
Felipe Erazo
News
US SEC Charges ICO Issuer and Its CEO with Unregistered Securities Offering
2021-06-22T21:44:53.000+02:00
The SEC imposed a $7.6 million civil penalty against Loci Inc.
T
u
e
s
d
a
y
,
2
2
/
0
6
/
2
0
2
1
|
1
9
:
4
4
G
M
T
by
Felipe Erazo
Regulation
US SEC Rewards with around $5.3 Million to Whistleblowers in Two Cases
2021-06-21T22:35:21.000+02:00
Information provided by three whistleblowers led the financial watchdog to open an investigation.
M
o
n
d
a
y
,
2
1
/
0
6
/
2
0
2
1
|
2
0
:
3
5
G
M
T
by
Felipe Erazo
News
US SEC Charges Three Individuals Allegedly Tied to a $30 Million ICO Fraud
2021-06-16T00:10:51.000+02:00
The defendants are accused of having helped to hide Manor's role as the head of the scheme.
T
u
e
s
d
a
y
,
1
5
/
0
6
/
2
0
2
1
|
2
2
:
1
0
G
M
T
by
Felipe Erazo
ADVERTISEMENT
Regulation
SEC Warns Investors against ‘Highly Speculative’ Bitcoin Funds
2021-06-15T14:00:50.000+02:00
This warning hints at the agency’s resistance in approving crypto ETFs.
T
u
e
s
d
a
y
,
1
5
/
0
6
/
2
0
2
1
|
1
2
:
0
0
G
M
T
by
Arnab Shome
Executive Moves
Coinbase Secures Christian Sabella as Its New Senior Director
2021-06-15T10:58:59.000+02:00
Sabella brings fifteen years of experience in the fintech industry to the new role located in the Washington DC-Baltimore area.
T
u
e
s
d
a
y
,
1
5
/
0
6
/
2
0
2
1
|
0
8
:
5
8
G
M
T
by
Tom Hazan
Executive Moves
US SEC Appoints New Director of Corporation Finance and General Counsel
2021-06-14T20:46:19.000+02:00
The announcement comes after the Commission recently tapped David Saltiel as Director of the Division of Trading and Markets.
M
o
n
d
a
y
,
1
4
/
0
6
/
2
0
2
1
|
1
8
:
4
6
G
M
T
by
Felipe Erazo
News
US SEC Charges Florida Dentist for Three Separate Securities Frauds
2021-06-12T01:34:40.000+02:00
The former practicing dentist is accused of publishing false statements to manipulate the securities market.
F
r
i
d
a
y
,
1
1
/
0
6
/
2
0
2
1
|
2
3
:
3
4
G
M
T
by
Felipe Erazo
ADVERTISEMENT
Regulation
US Regulators Warn on Potential Risks in Bitcoin Futures Trading
2021-06-11T00:59:36.000+02:00
The investor bulletin highlighted the "lack of regulation" in the Bitcoin market.
T
h
u
r
s
d
a
y
,
1
0
/
0
6
/
2
0
2
1
|
2
2
:
5
9
G
M
T
by
Felipe Erazo
Institutional FX
SEC Chief Wants Fair-Play Rules for US Brokers and Exchanges
2021-06-10T08:36:15.000+02:00
He is mostly concerned about the conflict of interest with the rise of the payment-for-order-flow model.
T
h
u
r
s
d
a
y
,
1
0
/
0
6
/
2
0
2
1
|
0
6
:
3
6
G
M
T
by
Arnab Shome
Brokers
US SEC Publishes Plan to Distribute $65 Million Robinhood Penalty
2021-06-07T11:07:44.000+02:00
The broker was fined last year for its ‘payment for order flow’ model.
M
o
n
d
a
y
,
0
7
/
0
6
/
2
0
2
1
|
0
9
:
0
7
G
M
T
by
Arnab Shome
Executive Moves
US SEC Chooses David Saltiel as New Acting Director of Trading and Markets
2021-06-03T21:21:28.000+02:00
Saltiel joined the US SEC in 2016 and replaces Christian R. Sabella who concluded his tenure on June 2.
T
h
u
r
s
d
a
y
,
0
3
/
0
6
/
2
0
2
1
|
1
9
:
2
1
G
M
T
by
Felipe Erazo
ADVERTISEMENT
News
US Court Denies SEC Access to Ripple’s Legal Communications
2021-05-31T12:29:55.000+02:00
The judge was convinced that those communications are protected under the attorney-client privilege.
M
o
n
d
a
y
,
3
1
/
0
5
/
2
0
2
1
|
1
0
:
2
9
G
M
T
by
Arnab Shome
News
US SEC Charges BitConnect Promoters with Federal Securities Violations
2021-05-29T02:11:58.000+02:00
The SEC complaint seeks injunctive relief, disgorgement plus interest and civil penalties from the alleged US-based promoters.
S
a
t
u
r
d
a
y
,
2
9
/
0
5
/
2
0
2
1
|
0
0
:
1
1
G
M
T
by
Felipe Erazo
Regulation
US SEC Opens the Doors to Work with the Congress for a Crypto Regulation
2021-05-27T22:40:33.000+02:00
Gensler called to gather more information on how to regulate DeFi and crypto lending platforms.
T
h
u
r
s
d
a
y
,
2
7
/
0
5
/
2
0
2
1
|
2
0
:
4
0
G
M
T
by
Felipe Erazo
Retail FX
SEC Charges an Individual in Connection with 1 Global Capital Scam
2021-05-18T09:02:00.000+02:00
Roy Gagaza sold $10.8 million worth of unregistered securities of 1 Global to several investors.
T
u
e
s
d
a
y
,
1
8
/
0
5
/
2
0
2
1
|
0
7
:
0
2
G
M
T
by
Bilal Jafar
ADVERTISEMENT
Institutional FX
SEC Ends Investigation against S&P Dow Jones Indices after $9M Settlement
2021-05-17T18:30:21.000+02:00
The company allegedly published old index values.
M
o
n
d
a
y
,
1
7
/
0
5
/
2
0
2
1
|
1
6
:
3
0
G
M
T
by
Arnab Shome
Regulation
SEC Indicts Spot Option and Two Operators, Pini Peter and Ran Amiran
2021-04-19T13:10:51.000+02:00
The company allegedly defrauded thousands of American investors by offering binary options.
M
o
n
d
a
y
,
1
9
/
0
4
/
2
0
2
1
|
1
1
:
1
0
G
M
T
by
Arnab Shome
Institutional FX
SEC Distributes $50 Million to 2 Tipsters
2021-04-15T17:13:06.000+02:00
It is the second-highest award handed out by the agency for insider information.
T
h
u
r
s
d
a
y
,
1
5
/
0
4
/
2
0
2
1
|
1
5
:
1
3
G
M
T
by
Arnab Shome
News
LBRY Warns That SEC Lawsuit Could Be “Disastrous” for the Crypto Industry
2021-03-31T11:23:38.000+02:00
This is because the conditions outlined in the complaint could classify most crypto tokens as securities.
W
e
d
n
e
s
d
a
y
,
3
1
/
0
3
/
2
0
2
1
|
0
9
:
2
3
G
M
T
by
Rachel McIntosh
ADVERTISEMENT
Executive Moves
Coinbase Names Brett Redfearn as New VP of Product and Capital Markets
2021-03-31T10:58:56.000+02:00
Redfearn will define and steer the company’s vision and strategy to set the global standard for crypto capital markets.
W
e
d
n
e
s
d
a
y
,
3
1
/
0
3
/
2
0
2
1
|
0
8
:
5
8
G
M
T
by
Tom Hazan
Retail FX
SEC Drags Broker-Dealer SureTrader to Court for US Operations
2021-03-23T09:30:55.000+02:00
The company was illegally operating in the country without registering itself with concerned regulators.
T
u
e
s
d
a
y
,
2
3
/
0
3
/
2
0
2
1
|
0
7
:
3
0
G
M
T
by
Arnab Shome
News
SEC Wants 8 Years of Personal Financial Records from Ripple Executives
2021-03-12T09:16:10.000+02:00
The executives called the move an 'inappropriate overreach'.
F
r
i
d
a
y
,
1
2
/
0
3
/
2
0
2
1
|
0
7
:
1
6
G
M
T
by
Arnab Shome
News
Cryptocurrency Market Jumps after Gary Gensler Passes Senate Committee Vote
2021-03-11T08:32:36.000+02:00
President Joe Biden’s Nominee for the Chairman of the SEC is getting closer to the final appointment.
T
h
u
r
s
d
a
y
,
1
1
/
0
3
/
2
0
2
1
|
0
6
:
3
2
G
M
T
by
Bilal Jafar
ADVERTISEMENT
Regulation
SEC Warns Celebrities over Endorsing SPACs without Disclosure
2021-03-10T19:14:57.000+02:00
Like ICOs and similar crypto-related fundraisings, SPAC mania has entered the celebrity phase.
W
e
d
n
e
s
d
a
y
,
1
0
/
0
3
/
2
0
2
1
|
1
7
:
1
4
G
M
T
by
Aziz Abdel-Qader
See more
Next
Previous
ADVERTISEMENT
ADVERTISEMENT
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}
!
"
#
$
%
&
'
(
)
*
+
,
-
.
/
0
1
2
3
4
5
6
7
8
9
:
;
<
=
>
?
@
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
Q
R
S
T
U
V
W
X
Y
Z
[
\
]
^
_
`
a
b
c
d
e
f
g
h
i
j
k
l
m
n
o
p
q
r
s
t
u
v
w
x
y
z
{
|
}