367 results about this entity
Period: 18 Oct 2004 - 16 Dec 2024
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
News/crypto
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
News/regulation
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
Stock trading app Robinhood has been hit with a $65 million fine by the Securities and Exchange Commission for misleading customers about payment for order flow practices that cost traders over £34 million in lost gains, the latest in a series of damning complaints about the firm's business tactics.
17 December 2020
Company announcement/markets
The Securities and Exchange Commission today adopted rules to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system stocks (“NMS market data”).
09 December 2020
Stock trading app Robinhood is being investigated by the Securities and Exchange Commission for failing to disclose that it sold clients' orders to high speed trading firms, according to the Wall Street Journal.
03 September 2020
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