Securities and Exchange Commission (SEC) - News, Articles & Research

Company announcement/regulation

SEC fines Deutsche Bank $4 million for late filing of suspicious activity reports

The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious Activity Reports (SARs) in a timely manner.

23 December 2024

Company announcement/regulation

SEC charges Cantor Fitzgerlad over misleading Spac disclosures

The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) that it controlled to make misleading statements to investors ahead of their initial public offerings (IPOs).

16 December 2024

News/regulation

SEC charges JP Morgan affiliates $151 million

The US Securities and Exchange Commission (SEC) has charged JP Morgan Securities and JP Morgan Investment Management Inc. (JPMIM) in five separate actions.

01 November 2024

News/crypto

Crypto.com sues SEC after receiving Wells notice

Crypto.com has filed a lawsuit against the Securities and Exchange Commission after receiving a Wells notice from the regulator warning that enforcement action may be on the way.

09 October 2024

Company announcement/regulation

SEC hits more firms with penalties over recordkeeping failures

The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications in violation of recordkeeping provisions of the federal securities laws.

24 September 2024

News/crime

Macquarie Asset Management to pay nearly $80 million in SEC fraud charges

Macquarie Investment Management Business Trust (MIMBT), a registered investment advisor of Macquarie Asset Management, is to pay $79.8 million in a settlement with the US Securities and Exchange Commission (SEC) in connection with overvaluing assets and engaging in unlawful cross trades.

20 September 2024

Company announcement/regulation

SEC hits more firms with WhatsApp fines

The Securities and Exchange Commission today announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications.

18 September 2024

News/crypto

EToro USA to stop offering trading in most crypto following SEC settlement

Social investing platform eToro's US business has agreed to pay $1.5 million and stop trading activity in nearly all crypto assets to settle Securities and Exchange Commission charges.

13 September 2024

Company announcement/regulation

SEC charges six ratings agencies with record-keeping failures

The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications.

04 September 2024

Company announcement/regulation

SEC penalises 26 more firms over WhatsApp communications

The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.

15 August 2024

News/crypto

Judge orders Ripple to pay $125m penalty

Ripple has been ordered by a US judge to pay the Securities and Exchange Commission $125 million in penalties for improperly selling its XRP token to institutional investors.

13 August 2024

Company announcement/regulation

SEC revamps website

The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality.

02 July 2024