Securities and Exchange Commission (SEC)

364 results about this entity

Period: 18 Oct 2004 - 24 Sep 2024

US shutdown impacts fintech market

The ongoing shutdown of the US government, sparked by a disagreement over funding for border security, is starting to impinge on the US fintech industry, according to reports.

/regulation

SEC fines Floyd Mayweather and DJ Khaled over ICO promotions

The Securities and Exchange Commission today announced settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled, known as DJ Khaled, for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs).

/regulation

ICO issuers settle SEC registration charges

The Securities and Exchange Commission today announced settled charges against two companies that sold digital tokens in initial coin offerings (ICOs).

SEC cyber unit has busy 2018

The Securities and Exchange Commission's new cyber unit has been busy, bringing 20 standalone cases, including those against ICOs and digital assets, in 2018, with more than 225 investigations ongoing.

SEC suspends trading in firm over false cryptocurrency claims

The Securities and Exchange Commission today suspended trading in the securities of a company amid questions surrounding its statements about partnering with a claimed SEC-qualified custodian for use with cryptocurrency transactions and a purportedly registered public offering of preferred stock.

/regulation

SEC launches strategic hub for innovation and fintech

The U.S. Securities and Exchange Commission today announced the launch of the agency's Strategic Hub for Innovation and Financial Technology (FinHub).

Wintercap and WB21 in the dock for microcap fraud

The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against two individuals and their companies in a scheme that generated more than $165 million of illegal sales of stock in at least 50 microcap companies.

SEC charges firm with deficient cybersecurity procedures

The Securities and Exchange Commission today announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1 million to settle charges related to its failures in cybersecurity policies and procedures surrounding a cyber intrusion that compromised personal information of thousands of customers.

SEC CIO Pamela Dyson quits

The Securities and Exchange Commission today announced that Pamela C. Dyson plans to leave the SEC to serve as executive vice president, head of the Technology Group, and Chief Information Officer (CIO) at the Federal Reserve Bank of New York.

SEC cries foul over Citi dark pool shenanigans

The Securities and Exchange Commission today entered an order finding that Citigroup Global Markets Inc. misled users of a dark pool operated by one of its affiliates.

SEC tick-size pilot cost investors over $300m - report

A Securities and Exchange Commission pilot designed to encourage trading in the shares of smaller companies has cost investors more than $300 million over its two years run, according to analysis from Pragma Securities.

SEC raps Citi for inadequate books and records as traders tried to hide losses

The Securities and Exchange Commission today announced that Citigroup has agreed to pay $10.5 million in penalties to settle two enforcement actions involving its books and records, internal accounting controls, and trader supervision.