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Latest news and analysis on Securities and Exchange Commission (SEC) (602 items)

15 Dec 2023
News
SEC denies Coinbase petition for crypto rules
21 Nov 2023
News
SEC sues crypto exchange Kraken
10 Nov 2023
News
Bitwise distances itself from fraud charges levelled at firm of same name
03 Nov 2023
News
PayPal receives SEC subpoena over stablecoin
16 Oct 2023
News
SEC head warns AI could cause financial crisis
11 Oct 2023
Company
Sifma hits out at SEC's proposed new rules on predicitive data analytics
02 Oct 2023
News
Ex-Goldman associate charged with insider trading
29 Sep 2023
Company
SEC doles out more messaging violation fines
25 Sep 2023
Company
Deutsche Bank subsidiary DWS to pay $25 million penalty for AML and ESG violations
25 Sep 2023
Company
Goldman to pay $6 million in penalties for deficient 'Blue Sheet' data
20 Sep 2023
News
SEC predicts further crypto charges as enforcement battle continues
13 Sep 2023
Company
SEC charges Virtu over alleged failure to safeguard insititutional customers' trade
30 Aug 2023
News
Grayscale secures SEC legal win over bitcoin ETF
29 Aug 2023
Company
SEC charges Archipelago with record-keeping violations
24 Aug 2023
Company
Tornado Cash founders charged with money laundering and sanctions violations
22 Aug 2023
News
SEC charges fintech investment adviser with violating marketing rule
11 Aug 2023
News
Crypto exchange Bittrx agrees $24m SEC settlement
08 Aug 2023
News
More banks pay multi-million dollar penalties over WhatsApp use
27 Jul 2023
Company
SEC adopts rules on cybersecurity risk management and incident disclosure
27 Jul 2023
Company
SEC proposes new restrictions on the use of predictive analytics
14 Jul 2023
News
Ripple scores partial win in SEC lawsuit
09 Jun 2023
News
Binance.US suspends dollar deposits
06 Jun 2023
News
SEC sues Coinbase
05 Jun 2023
News
SEC sues Binance and CEO Changpeng Zhao
30 May 2023
Company
Former Coinbase manager settles SEC insider trading charges
11 May 2023
Company
SEC charges HSBC And Scotia Capital with widespread recordkeeping failures
25 Apr 2023
News
Coinbase sues SEC to force response to rulemaking petition
17 Apr 2023
Company
SEC charges Bittrex for operating an unregistered securities exchange, broker, and clearing agency
23 Mar 2023
Company
Coinbase hits out at SEC Wells Notice
23 Mar 2023
News
Lindsay Lohan and Jake Paul charged over crypto promotions
22 Mar 2023
Company
SEC calls for electronic filing of submissions
16 Mar 2023
Company
SEC proposes tighter cybersecurity rules
15 Mar 2023
Company
SEC charges DXC Technology for misleading non-GAAP disclosures
23 Feb 2023
News
Crypto trade group criticises SEC insider trading case
16 Feb 2023
News
SEC finalises rules for move to T+1
14 Feb 2023
News
Paxos ordered to stop minting Binance stablecoin
10 Feb 2023
News
Kraken’s staking-as-a-service sunk by SEC
06 Feb 2023
News
SEC WhatsApp crackdown expands to hedge funds
20 Jan 2023
News
SEC fines Nexo $45 million in penalties
13 Jan 2023
News
SEC charges Gemini and Genesis with selling unregistered securities
14 Dec 2022
Company
SEC charges eight social media influencers over $100 million stock manipulation scheme
23 Nov 2022
Company
Goldman Sachs pays $4 million penalty over ESG failings
03 Oct 2022
News
SEC charges Kim Kardashian for Instagram crypto promotion
30 Sep 2022
News
SEC hits Barclays with $361m fine for securities over-issuances
28 Sep 2022
News
Morgan Stanley, Goldman Sachs, among banks fined $1.1 billion by SEC
28 Sep 2022
News
SEC slaps Oracle with $23m fine for alleged bribery
20 Sep 2022
News
Morgan Stanley hit with $35m penalty for device disposal failings
16 Sep 2022
News
SEC guidelines disrupt banks' cryptocurrency projects
17 Aug 2022
News
SEC charges three with insider trading connected to Equifax data breach
26 Jul 2022
News
SEC investigates Coinbase over securities - Bloomberg
22 Jul 2022
News
Insider trading case revives tussle between SEC and Coinbase over securities
14 Jun 2022
News
Charles Schwab pays $187m to settle SEC robo-advisor charges
03 Jun 2022
Company
SEC updates electronic filing requirements
24 May 2022
Company
SEC charges BNY Mellon over greenwashing
03 May 2022
News
SEC hires 20 more staff to police crypto markets
22 Mar 2022
Company
SEC proposes rules on climate-related disclosures
09 Mar 2022
Company
SEC poposes new cybersecurity disclosure rules
09 Mar 2022
News
SEC charges siblings over $124m crypto scam
14 Feb 2022
Company
SEC throws the book at BlockFi
10 Feb 2022
News
SEC votes in favour of T+1