Securities and Exchange Commission (SEC)

366 results about this entity

Period: 18 Oct 2004 - 01 Nov 2024

/regulation

SEC charges HSBC And Scotia Capital with widespread recordkeeping failures

The Securities and Exchange Commission today charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for widespread and longstanding failures by both firms and their employees to maintain and preserve electronic communications.

/regulation

Coinbase sues SEC to force response to rulemaking petition

Coinbase has filed a suit against the Securities and Exchange Commission, asking a court to make the regulator respond to a petition from last year on the "rules to govern the regulation" of digital assets.

/crypto

SEC charges Bittrex for operating an unregistered securities exchange, broker, and clearing agency

The Securities and Exchange Commission today charged crypto asset trading platform Bittrex, Inc. and its co-founder and former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency.

/regulation

Coinbase hits out at SEC Wells Notice

Today, the SEC gave Coinbase a “Wells notice” regarding an undefined portion of our listed digital assets, our staking service Coinbase Earn, Coinbase Prime, and Coinbase Wallet after a cursory investigation.

/crypto

Lindsay Lohan and Jake Paul charged over crypto promotions

The Securities and Exchange Commission has charged eight celebrities - including actress Lindsay Lohan and YouTube star Jake Paul - for illegaly touting crypto asset tokens without disclosing that they were paid for doing so.

/regulation

SEC calls for electronic filing of submissions

The Securities and Exchange Commission today proposed amendments designed to modernize its information collection and analysis methods by, among other things, proposing that a number of filings be submitted to the Commission electronically on EDGAR using structured data where appropriate.

/security

SEC proposes tighter cybersecurity rules

The Securities and Exchange Commission today proposed requirements for broker-dealers, clearing agencies, major security-based swap participants, the Municipal Securities Rulemaking Board, national securities associations, national securities exchanges, security-based swap data repositories, security-based swap dealers, and transfer agents (collectively, “Market Entities”) to address their cybersecurity risks.

/regulation

SEC charges DXC Technology for misleading non-GAAP disclosures

The Securities and Exchange Commission today charged DXC Technology Company, an IT services company in Ashburn, Virginia, with making misleading disclosures about its non-GAAP financial performance in multiple reporting periods from 2018 until early 2020.

/crypto

Crypto trade group criticises SEC insider trading case

A US-based trade association representing crypto firms has called for the dismissal of an insider trading case brought by the Securities and Exchanges Commission (SEC) arguing that the regulator has unfairly labelled crypto assets as securities.

/regulation

SEC finalises rules for move to T+1

The Securities and Exchange Commission has finalised rule changes to cut the settlement cycle to one business day in order to reduce risks in the clearance and settlement of securities.

/crypto

Paxos ordered to stop minting Binance stablecoin

Blockchain infrastructure provider Paxos will stop issuing new Binance USD stablecoins on the orders of the New York Department of Financial Services (NYDFS). The firm has also revealed that the token is facing SEC scrutiny.

/regulation

Kraken’s staking-as-a-service sunk by SEC

The US Securities and Exchange Commission (SEC) reached a settlement of $30 million with crypto platform Kraken, for the exchange’s failure to register its staking-as-a-service program.