Securities and Exchange Commission (SEC)

350 results about this entity

Period: 18 Oct 2004 - 20 Mar 2024

/crime

SEC charges Archipelago with record-keeping violations

The Securities and Exchange Commission today announced charges against Archipelago Trading Services Inc. (ATSI) for failing to file hundreds of legally required reports of suspicious financial transactions, known as Suspicious Activity Reports (SARs), between August 2012 and September 2020.

/crime

Tornado Cash founders charged with money laundering and sanctions violations

A Russian national and a Washington man were charged today with conspiracy to commit money laundering, conspiracy to commit sanctions violations, and conspiracy to operate an unlicensed money transmitting business.

/regulation

SEC charges fintech investment adviser with violating marketing rule

The Securities and Exchange Commission has charged fintech investment adviser Titan Global Capital Management USA with misleading investors with advertisements about performance metrics.

/crypto

Crypto exchange Bittrx agrees $24m SEC settlement

Crypto outfit Bittrex has agreed to pay $24 million to settle SEC charges that it operated an unregistered national securities exchange, broker and clearing agency.

/regulation

More banks pay multi-million dollar penalties over WhatsApp use

Wells Fargo and BNP Paribas are among the latest banks to be hit with multi-million dollar penalties by US regulators over employee use of unofficial communication tools like WhatsApp and iMessage.

/security

SEC adopts rules on cybersecurity risk management and incident disclosure

The Securities and Exchange Commission today adopted rules requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy, and governance.

/regulation

SEC proposes new restrictions on the use of predictive analytics

The Securities and Exchange Commission today proposed new rules that would require broker-dealers and investment advisers (collectively, “firms”) to take certain steps to address conflicts of interest associated with their use of predictive data analytics and similar technologies to interact with investors to prevent firms from placing their interests ahead of investors’ interests.

/crypto

Ripple scores partial win in SEC lawsuit

Ripple did not violate federal securities law by selling the XRP token on public exchanges and through algorithms, a US judge has ruled in a major win for the cryptocurrency industry.

/crypto

Binance.US suspends dollar deposits

Days after the SEC sued it, the US arm of Binance says it is suspending dollar deposits and that its banking partners are preparing to pause dollar withdrawal channels.

/regulation

SEC sues Coinbase

The Securities and Exchange Commission has sued Coinbase for operating its crypto asset trading platform as an unregistered national securities exchange, broker, and clearing agency.

/regulation

SEC sues Binance and CEO Changpeng Zhao

The Securities and Exchange Commission has sued Binance and its CEO Changpeng Zhao, alleging a host of securities law violations and accusing the world's largest crypto exchange of engaging in an "extensive web of deception".

/regulation

Former Coinbase manager settles SEC insider trading charges

The Securities and Exchange Commission today announced that former Coinbase product manager Ishan Wahi and his brother, Nikhil Wahi, agreed to settle charges that they engaged in insider trading through a scheme to trade ahead of multiple announcements regarding at least nine crypto asset securities that would be made available for trading on the Coinbase platform.

/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.