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

Company announcement/crime

SEC charges Russians in $80m hacking and trading scheme

The Securities and Exchange Commission today announced fraud charges against five Russian nationals for engaging in a multi-year scheme to profit from stolen corporate earnings announcements obtained by hacking into the systems of two U.S.-based filing agent companies before the announcements were made public.

20 December 2021

News/regulation

JPMorgan Chase fined $200 million for conducting business on WhatsApp

JPMorgan Chase has received a $125 million penalty from the Securities and Exchange Commission (SEC), for allowing Wall Street employees to use apps including WhatsApp to get around US federal record-keeping laws.

20 December 2021

Company announcement/regulation

SEC proposes update to electronic recordkeeping requirements

The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs).

19 November 2021

News/crypto

SEC rejects bitcoin-based ETF

The Securities and Exchange Commission has rejected a bid to list a bitcoin-based exchange-traded fund.

15 November 2021

Company announcement/regulation

SEC Commissioner outlines DeFi risk and opportunities

Whether in the news, social media, popular entertainment, and increasingly in people’s portfolios, crypto is now part of the vernacular.[1]

09 November 2021

News/crypto

Coinbase ditches Lend programme after SEC warning

Coinbase has abandoned its planned interest-earning product two weeks after the cryptocurrency exchange revealed that the SEC was threatening to sue over the issue.

20 September 2021

Company announcement/regulation

SEC slaps $10 million fine on App Annie for securities fraud

The Securities and Exchange Commission today announced that App Annie Inc., a leading alternative data provider for the mobile app industry, and its co-founder and former CEO and Chairman Bertrand Schmitt, have agreed to settle securities fraud charges for engaging in deceptive practices and making material misrepresentations about how App Annie's alternative data was derived.

15 September 2021

News/crypto

Coinbase says SEC is threatening to sue over Lend product

The Securities and Exchange Commission intends to sue Coinbase over a planned interest-earning product, says the cryptocurrency exchange.

08 September 2021

News/regulation

SEC calls for feedback on trading app gamification

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 files to become a bank

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 receives SEC approval for board diversity disclosure rule

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:

09 August 2021

Company announcement/crypto

SEC charges DeFi company for defrauding investors out of $30 million

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