382 results about this entity
Period: 18 Oct 2004 - 27 Mar 2025
News/regulation
The Securities and Exchange Commission is pondering a crackdown on how broker-dealers and investment advisors use techniques such as behavioural prompts, differential marketing, and gamification.
30 August 2021
News/crypto
Circle has filed with the Securities and Exchange Commission to become a US Federally-chartered national commercial bank.
09 August 2021
Company announcement/markets
Nasdaq today released a statement following the U.S. Securities and Exchange Commission’s (SEC) approval of the company’s board diversity disclosure listing rule:
Company announcement/crypto
The Securities and Exchange Commission today charged two Florida men and their Cayman Islands company for unregistered sales of more than $30 million of securities using smart contracts and so-called “decentralized finance” (DeFi) technology, and for misleading investors concerning the operations and profitability of their business DeFi Money Market.
06 August 2021
The Securities and Exchange Commission has shut down a mother and son operation that raised more than $12 million from retailer investors by promising to use an AI "supercomputer" to invest the funds in securities trading and cryptocurrencies.
20 July 2021
Company announcement/regulation
The Securities and Exchange Commission today filed a settled action against UBS Financial Services Inc. for compliance failures relating to sales of a volatility linked exchange-traded product (ETP).
19 July 2021
Charles Schwab is facing a $200 million charge relating to a Securities and Exchange Commission (SEC) investigation into the firm's robo advisor.
07 July 2021
The Securities and Exchange Commission today announced that Neovest Inc., a provider of an order and execution management system (OEMS) that facilitates electronic trading, has agreed to pay a $2.75 million penalty for its failure to register as a broker-dealer in violation of the federal securities laws.
29 June 2021
Company announcement/sustainable
The Securities and Exchange Commission today announced the creation of a Climate and ESG Task Force in the Division of Enforcement.
05 March 2021
US regulators have made inquiries to Robinhood about the trading restrictions the app put on stocks such as GameStop during the Reddit-led rallies earlier this year.
26 February 2021
Ripple has accused the Securities and Exchange Commission of distorting the facts about the status of its cryptocurrency XRP in its first formal response to a regulatory lawsuit filed in December.
01 February 2021
The US Securities and Exchange Commission is gearing up to take enforcement action against Ripple and its digital asset XRP.
22 December 2020
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