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

SEC drops another crypto case

The main financial regulator in the US has dropped its investigation against a crypto exchange, adding further credence to the notion that there has been a seismic shift in the US's regulation of decentralised finance (DeFi).

26 February 2025

News/crypto

SEC drops Robinhood Crypto investigation

Robinhood says the Securities and Exchange Commission is ditching its investigation into the trading app's crypto arm.

25 February 2025

News/crypto

Coinbase says SEC has agreed to drop enforcement case

Coinbase is claiming victory in its long-running tussle with the Securities Exchange Commission, stating that the regulator has agreed to drop its enforcement case against the crypto firm.

24 February 2025

News/regulation

SEC creates Cyber and Emerging Technologies Unit

The US Securities and Exchange Commission has created a Cyber and Emerging Technologies Unit (CETU) to focus on combatting cyber-related misconduct and to protect retail investors from hackers and the misuse of AI.

20 February 2025

News/security

Alabama man pleads guilty to SEC X hack

An Alabama man has pleaded guilty in connection with the January 2024 unauthorized takeover of the US Securities and Exchange Commission (SEC)’s social media account on X to artifically boost bitcoin prices.

11 February 2025

Company announcement/security

SEC exempts personally identifiable information from Consolidated Audit Trail

The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural persons.

11 February 2025

News/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.

22 January 2025

Company announcement/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.

17 January 2025

Company announcement/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”).

15 January 2025

Company announcement/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.

14 January 2025

News/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.

14 January 2025

News/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.

14 January 2025