Securities and Exchange Commission (SEC)

374 results about this entity

Period: 18 Oct 2004 - 22 Jan 2025

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SEC launches crypto task force, saying it can 'do better'

/regulation

SEC launches crypto task force, saying it can 'do better'

With Donald Trump in power, the new acting chairman of the Securities Exchange Commission has moved to reset the watchdog's approach to digital assets, launching a crypto task force dedicated to developing a regulatory framework for the sector.

/regulation

Digital Currency Group to pay $38m to settle SEC charges

The Securities and Exchange Commission today announced that Digital Currency Group Inc. (DCG), and Soichoro “Michael” Moro, the former CEO of DCG’s now-defunct subsidiary, Genesis Global Capital LLC, will pay a combined $38.5 million in civil penalties to settle charges for misleading investors about Genesis’s financial condition.

/markets

SEC charges Elon Musk for fleecing Twitter shareholders

The Securities and Exchange Commission announced today that it has filed an action against Elon Musk alleging that he failed to timely file a beneficial ownership report with the Commission after acquiring beneficial ownership of more than five percent of the outstanding shares of Twitter, Inc. common stock, in violation of the beneficial ownership reporting requirements under the Securities Exchange Act of 1934 (“Exchange Act”).

/regulation

Twelve firms to pay $63.1 million in fines for recordkeeping failures

The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping provisions of the federal securities laws.

Robinhood to pay $45 million over multiple regulatory failures

/regulation

Robinhood to pay $45 million over multiple regulatory failures

Robinhood is to pay $45 million to settle a range of SEC charges against its brokerage operations.

Shift4 Payments and SEC reach disclosure violation settlement

/regulation

Shift4 Payments and SEC reach disclosure violation settlement

Shift4 Payments, the firm founded by Donald Trump's pick to lead Nasa, reached a $750,000 settlement with the SEC for reporting and proxy violations.

/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.

/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).

SEC charges JP Morgan affiliates $151 million

/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.

Crypto.com sues SEC after receiving Wells notice

/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.

/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.

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

/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.

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