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Securities and Exchange Commission

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ICOs

US SEC Gets Settlement in a Fraudulent and Unregistered ICO Case

  • A court will determine the terms of the settlement reached with the three individuals and the entity.
Friday, 02/07/2021 | 23:27 GMT by Felipe Erazo
Retail FX

Charles Schwab Faces SEC Probe for Robo Advisory Reporting

  • The broker is expecting an impact of the investigation on its Q2 financials.
Friday, 02/07/2021 | 12:09 GMT by Arnab Shome
Institutional FX

US SEC Orders Unregistered Broker-Dealer to Pay a $2.75 Million Penalty

  • Neovest agreed with the US SEC's cease and desist order from committing any violations of Section 15(a) of the Exchange Act.
Tuesday, 29/06/2021 | 17:15 GMT by Felipe Erazo
News

US SEC Charges ICO Issuer and Its CEO with Unregistered Securities Offering

  • The SEC imposed a $7.6 million civil penalty against Loci Inc.
Tuesday, 22/06/2021 | 19:44 GMT by Felipe Erazo
Regulation

US SEC Rewards with around $5.3 Million to Whistleblowers in Two Cases

  • Information provided by three whistleblowers led the financial watchdog to open an investigation.
Monday, 21/06/2021 | 20:35 GMT by Felipe Erazo
News

US SEC Charges Three Individuals Allegedly Tied to a $30 Million ICO Fraud

  • The defendants are accused of having helped to hide Manor's role as the head of the scheme.
Tuesday, 15/06/2021 | 22:10 GMT by Felipe Erazo
Regulation

SEC Warns Investors against ‘Highly Speculative’ Bitcoin Funds

  • This warning hints at the agency’s resistance in approving crypto ETFs.
Tuesday, 15/06/2021 | 12:00 GMT by Arnab Shome
Executive Moves

Coinbase Secures Christian Sabella as Its New Senior Director

  • Sabella brings fifteen years of experience in the fintech industry to the new role located in the Washington DC-Baltimore area.
Tuesday, 15/06/2021 | 08:58 GMT by Tom Hazan
Executive Moves

US SEC Appoints New Director of Corporation Finance and General Counsel

  • The announcement comes after the Commission recently tapped David Saltiel as Director of the Division of Trading and Markets.
Monday, 14/06/2021 | 18:46 GMT by Felipe Erazo
News

US SEC Charges Florida Dentist for Three Separate Securities Frauds

  • The former practicing dentist is accused of publishing false statements to manipulate the securities market.
Friday, 11/06/2021 | 23:34 GMT by Felipe Erazo
Regulation

US Regulators Warn on Potential Risks in Bitcoin Futures Trading

  • The investor bulletin highlighted the "lack of regulation" in the Bitcoin market.
Thursday, 10/06/2021 | 22:59 GMT by Felipe Erazo
Institutional FX

SEC Chief Wants Fair-Play Rules for US Brokers and Exchanges

  • He is mostly concerned about the conflict of interest with the rise of the payment-for-order-flow model.
Thursday, 10/06/2021 | 06:36 GMT by Arnab Shome
Brokers

US SEC Publishes Plan to Distribute $65 Million Robinhood Penalty

  • The broker was fined last year for its ‘payment for order flow’ model.
Monday, 07/06/2021 | 09:07 GMT by Arnab Shome
Executive Moves

US SEC Chooses David Saltiel as New Acting Director of Trading and Markets

  • Saltiel joined the US SEC in 2016 and replaces Christian R. Sabella who concluded his tenure on June 2.
Thursday, 03/06/2021 | 19:21 GMT by Felipe Erazo
News

US Court Denies SEC Access to Ripple’s Legal Communications

  • The judge was convinced that those communications are protected under the attorney-client privilege.
Monday, 31/05/2021 | 10:29 GMT by Arnab Shome
News

US SEC Charges BitConnect Promoters with Federal Securities Violations

  • The SEC complaint seeks injunctive relief, disgorgement plus interest and civil penalties from the alleged US-based promoters.
Saturday, 29/05/2021 | 00:11 GMT by Felipe Erazo
Regulation

US SEC Opens the Doors to Work with the Congress for a Crypto Regulation

  • Gensler called to gather more information on how to regulate DeFi and crypto lending platforms.
Thursday, 27/05/2021 | 20:40 GMT by Felipe Erazo
Retail FX

SEC Charges an Individual in Connection with 1 Global Capital Scam

  • Roy Gagaza sold $10.8 million worth of unregistered securities of 1 Global to several investors.
Tuesday, 18/05/2021 | 07:02 GMT by Bilal Jafar
Institutional FX

SEC Ends Investigation against S&P Dow Jones Indices after $9M Settlement

  • The company allegedly published old index values.
Monday, 17/05/2021 | 16:30 GMT by Arnab Shome
Regulation

SEC Indicts Spot Option and Two Operators, Pini Peter and Ran Amiran

  • The company allegedly defrauded thousands of American investors by offering binary options.
Monday, 19/04/2021 | 11:10 GMT by Arnab Shome
Institutional FX

SEC Distributes $50 Million to 2 Tipsters

  • It is the second-highest award handed out by the agency for insider information.
Thursday, 15/04/2021 | 15:13 GMT by Arnab Shome
News

LBRY Warns That SEC Lawsuit Could Be “Disastrous” for the Crypto Industry

  • This is because the conditions outlined in the complaint could classify most crypto tokens as securities.
Wednesday, 31/03/2021 | 09:23 GMT by Rachel McIntosh
Executive Moves

Coinbase Names Brett Redfearn as New VP of Product and Capital Markets

  • Redfearn will define and steer the company’s vision and strategy to set the global standard for crypto capital markets.
Wednesday, 31/03/2021 | 08:58 GMT by Tom Hazan
Retail FX

SEC Drags Broker-Dealer SureTrader to Court for US Operations

  • The company was illegally operating in the country without registering itself with concerned regulators.
Tuesday, 23/03/2021 | 07:30 GMT by Arnab Shome
News

SEC Wants 8 Years of Personal Financial Records from Ripple Executives

  • The executives called the move an 'inappropriate overreach'.
Friday, 12/03/2021 | 07:16 GMT by Arnab Shome
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