SEC

The Latest

  • Eavesdropping to Insider Trading: How a Houston Man Gained $1.76 Million Illegally
    China U.S. IPOs
    As a former mergers and acquisitions manager for BP, Loudon's wife was involved in the potential acquisition of TravelCenters of America, a key piece of information that Loudon exploited to amass a fortune of $1.76 million in illegal profits.
  • SEC Intensifies Oversight of $26 Trillion Treasury Market, Mandates Hedge Fund Registration
    China U.S. IPOs
    The U.S. Securities and Exchange Commission (SEC) has bolstered its regulatory oversight of the $26 trillion U.S. Treasury market. On Tuesday, February 6, the SEC passed new rules with a vote of three in favor and two against.
  • SEC Chair Warns of AI Risk to Financial Stability, Urges Regulatory Revisions
    SETTLEMENT
    SEC Chair Gary Gensler cautioned on Monday that artificial intelligence (AI) poses a risk to financial stability. He suggested that the proliferation of AI could necessitate governments worldwide to substantially revise regulations to maintain global financial stability. Regulatory bodies must address the challenges emerging technologies bring. Gensler affirmed that the SEC staff is weighing the need for new rules.
  • SEC Unveils Robust Money-Market Fund Reforms to Fortify Financial Resilience
    SETTLEMENT
    In a move that marks a significant shift in the financial landscape, the U.S. Securities and Exchange Commission (SEC) has finalized a comprehensive set of reforms aimed at bolstering the resilience of money-market funds. The new regulations, which are the most extensive overhaul in years, are designed to prevent rapid outflows during periods of financial stress.
  • SEC Targets $5.5 Trillion Market with New Money Market Fund Regulations
    SETTLEMENT
    American Securities and Exchange Commission (SEC) is gearing up to introduce a new set of rules aimed at money market mutual funds, a move that may cause friction with the industry titans who dominate this $5.5 trillion market, as reported on Thursday, July 6th.
  • Elusive Binance CEO Changpeng Zhao Evades U.S. SEC, Forces Alternative Document Delivery
    BINANCE
    According to a Bloomberg report on Friday, the U.S. Securities and Exchange Commission (SEC) has requested a federal court to approve the use of "alternative methods" for delivering documents to Binance and Changpeng Zhao.
  • Decoding the SEC's Legal Battle Against Cryptocurrency Titans: From HSBC to Adidas, Prada, Disney, Samsung, and Barcelona FC Caught in the Crypto Crossfire
    Crypto
    The U.S. Securities and Exchange Commission (SEC) this week shook the entire crypto circle by filing lawsuits against two major cryptocurrency exchanges, Binance and Coinbase. This exposed how over the past few years, numerous industry giants from Wall Street, Silicon Valley, the entertainment industry, the fashion industry, and even the world's top football clubs have bent over backwards to participate in the crypto sector, allegedly involved in illegal cryptocurrency financing or collaboration accused by the SEC.
  • Suing exchanges is not enough! SEC Chairman strikes the crypto sector again: No need for more digital currencies
    cryptocurrency
    On Tuesday, June 6, SEC Chairman Gary Gensler hinted in a media program that cryptocurrencies and other digital tokens are essentially unnecessary in this world. Gensler said:
  • SEC Issues Warning to Coinbase Amid Escalating Crypto Industry Crackdown
    AMICUS
    The U.S. Securities and Exchange Commission (SEC) has sent a Wells notice to Coinbase Global Inc, indicating a potential enforcement action against the crypto exchange.
  • U.S. SEC Files Lawsuit Against Do Kwon, Terraform Labs For Asset Securities Fraud
    crypto
    The SEC alleges that Kwon and Terraform offered and sold an "interconnected suite of crypto asset securities, many in unregistered transactions"
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