Securities and Exchange Commission (SEC)

359 results about this entity

Period: 18 Oct 2004 - 15 Aug 2024

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Do Kwon requests delay to SEC trial while being held in Montenegro

/crime

Do Kwon requests delay to SEC trial while being held in Montenegro

Representing counsel of the former CEO of Terraform Lab, Do Kwon, has requested a delay for his upcoming Securities and Exchange Commission (SEC) trial in US court as he is yet to be extradited from Montenegro.

Future Fintech CEO Shanchun Huang charged with fraud by SEC

/regulation

Future Fintech CEO Shanchun Huang charged with fraud by SEC

The Securities and Exchange Commission (SEC) has charged Future Fintech CEO Shanchun Huang with fraud for failing to share his ownership and transactions of Future Fintech stock shortly before he was appointed as CEO.

Opinions split over SEC approval of bitcoin spot ETFs

/crypto

Opinions split over SEC approval of bitcoin spot ETFs

In a landmark judgement, the US Securities and Exchange Commission has approved 11 bitcoin spot ETFs paving the way for mass adoption of digital assets.

SEC X account hacked and used to send bogus bitcoin news

/security

SEC X account hacked and used to send bogus bitcoin news

The US Securites and Exchange Commission has confirmeed that its X account was hacked and used to post spurious approval for the listing and trading of spot Bitcoin exchange-traded products.

SEC denies Coinbase petition for crypto rules

/regulation

SEC denies Coinbase petition for crypto rules

The Securities and Exchange Commission has denied a petition from crypto exchange Coinbase asking the regulator to put in place new rules specifically for the digital asset sector.

SEC sues crypto exchange Kraken

/crypto

SEC sues crypto exchange Kraken

The US Securities and Exchange Commission has sued Kraken, accusing the crypto trading platform of operating as an unregistered securities exchange, broker, dealer, and clearing agency.

Bitwise distances itself from fraud charges levelled at firm of same name

/crypto

Bitwise distances itself from fraud charges levelled at firm of same name

Bitwise Asset Management distanced itself from charges issued by the SEC and US Department of Justice (DOJ) yesterday, which take aim at the former CEOs of defunct startup Bitwise Industries Inc.

PayPal receives SEC subpoena over stablecoin

/regulation

PayPal receives SEC subpoena over stablecoin

PayPal has received a subpoena from the Securities and Exchange Commission (SEC) requesting documentation about its recently launched stablecoin.

SEC head warns AI could cause financial crisis

/people

SEC head warns AI could cause financial crisis

It is "nearly unavoidable" that AI will trigger a financial crisis within the decade unless regulators step in, says Securities and Exchange Commission head Gary Gensler.

/regulation

Sifma hits out at SEC's proposed new rules on predicitive data analytics

SIFMA and SIFMA AMG today submitted a letter to the Securities and Exchange Commission (SEC) on the proposed rules that would require the elimination or neutralization of the use of predictive data analytics (PDA) and PDA-like technologies by Broker-Dealers and RIAs.

Ex-Goldman associate charged with insider trading

/people

Ex-Goldman associate charged with insider trading

US prosecutors have charged a former Goldman Sachs employee with securities fraud for allegedly tipping off friends about deals over Xbox chat.

/regulation

SEC doles out more messaging violation fines

The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread and longstanding failures to maintain and preserve electronic communications.

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