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Merrill Lynch to pay $6M to settle SEC charges for failure to file Suspicious Activity Reports
The Securities and Exchange Commission (SEC) today announced charges against Merrill Lynch, Pierce, Fenner & Smith Incorporated and its parent company BAC North America Holding
US SEC to vote on ‘swing pricing,’ liquidity fund reporting By Reuters
© Reuters. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011. REUTERS/Jonathan
SEC secures judgments against operators of EmpiresX
The Securities and Exchange Commission (SEC) has obtained final judgments against Empires Consulting Corp. (EmpiresX), and its founders Emerson Sousa Pires and Flavio Mendes Goncalves,
SEC secures Court order against Coinseed and its founder
The Securities and Exchange Commission (SEC) has secured a Court order imposing penalties on Coinseed and its founder and chief executive Delgerdalai Davaasambuu. On July
SEC Targets Bittrex, Fallen Giant of U.S. Crypto Exchanges
Markets Currencies Cryptocurrency Seattle-based company, winding down American operations, is told it faces potential enforcement action Source link
US SEC sees DeFi platforms as exchanges, seeks more public feedback By Reuters
2/2 © Reuters. FILE PHOTO: U.S. Securities and Exchange Commission (SEC) Chairman Gary Gensler testifies before a House Financial Services and General Government Subcommittee hearing
Merrill Lynch to pay $9.5M to settle SEC charges about undisclosed Forex fees
The Securities and Exchange Commission (SEC) has charged Merrill Lynch, Pierce, Fenner & Smith Incorporated for charging advisory clients more than $4 million in undisclosed
New Jersey hedge fund, founder settle SEC charges over improper trades By Reuters
© Reuters. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011. REUTERS/Jonathan
Coinbase Insider-Trading Case Spearheads Crypto's Latest Bid to Avoid SEC Oversight
The crypto industry is hoping that a former manager at Coinbase who has pleaded guilty in a criminal case can beat the SEC by challenging
Tesla stock roars back after Elon Musk’s SEC deal
New York CNN Business — Investors cheered Tesla’s deal with the SEC that keeps Elon Musk as CEO. The stock surged 17% on Monday, more