You Searched For "SEC" and got 20 results
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2 mins read
The CFTC chief said his agency should oversee crypto in a challenge to SEC's Gensler
The statement form the acting CFTC chairman is at odds with SEC chief Gary Gensler, who has said cr…
Isabelle Lee
1 min read
SEC's Gary Gensler warns a lot of people are 'likely to get hurt' without crypto rules like those for bank deposits, insurance
The SEC chair also said crypto platforms that ask users to invest money for returns will be regulat…
Isabelle Lee
1 min read
The SEC doesn't want to let firms and individuals get by without admitting wrongdoing anymore as part of enforcement actions
Wrongdoing admissions will strengthen the deterrent value of enforcement actions, the head of the S…
Carla Mozée
1 min read
SEC charges a Georgia man with operating a decade-long Ponzi scheme that made more than $110 million
John Woods allegedly preyed upon elderly retirees and told them he could guarantee returns of 7% as…
Emily Graffeo
1 min read
Guggenheim will pay to settle SEC allegations it discouraged employees from reporting wrongdoing
Guggenheim violated the SEC's whistleblower protection rules by mandating employees contact the fir…
Emily Graffeo
2 mins read
Gary Gensler says most cryptos are securities, but some are more like gold — so the SEC and the CFTC should team up to regulate exchanges
Gary Gensler called for greater cooperation between Washington's main financial regulators when it …
Adam Morgan McCarthy
1 min read
SEC charges 3 former Netflix employees for running an insider trading ring that made more than $3 million
The SEC is cracking down on a former Netflix employee who tipped confidential information about Net…
Emily Graffeo
2 mins read
Alibaba and other Chinese stocks plummet after the SEC identifies 5 companies for potential delisting
Shares of Yum China, which owns the franchise rights to KFC and Taco Bell in China, fell as much as…
Matthew Fox
2 mins read
BlockFi to pay $100 million to settle charges with the SEC over its crypto lending product
BlockFi will pay $50 million to settle the SEC's charges, and $50 million in additional fines to se…
Phil Rosen
1 min read
The former head of the SEC says the regulator is overstepping with its climate disclosure policy
Jay Clayton, the former SEC Chair, said the regulator is making a policy assumption as it proposes …
Phil Rosen
1 min read
SEC sues BitConnect founder for alleged $2 billion crypto fraud
The SEC alleges the defendants falsely told investors that it could generate monthly returns as hig…
Matthew Fox
2 mins read
A bitcoin ETF may not be approved by the SEC until 2023 despite surging interest, according to a fund provider that's already been through the process
The SEC's rejection of the Wilshire Phoenix bitcoin ETF application in February 2020 gave the fund …
Matthew Fox
2 mins read
The SEC will tackle bad actors in crypto and needs to be prepared to fight cases against them, Chair Gensler said
Chairman Gary Gensler said the SEC needs to be ready to fight legal crypto cases and that regulatio…
Sophie Kiderlin
2 mins read
Mark Cuban says Coinbase should be aggressive in engaging with the SEC - and argues the crypto industry needs exemptions like the internet got in the '90s
The "Shark Tank" investor suggested it's better for Coinbase to go after the SEC rather than leave …
Shalini Nagarajan
1 min read
Elon Musk's lawyer accused the SEC of orchestrating a 'vindictive' leak against his client. Musk said his lawyer was 'peeling back the first layer of the corruption onion.'
Alex Spiro, Elon Musk's attorney, said the SEC was "out to retaliate" against Musk and Tesla for "e…
Kate Duffy
3 mins read
The SEC says positive sentiment from Reddit day traders, not short covering, was the biggest driver of GameStop's wild stock surge. Here are the 5 main takeaways from the report.
"It was the positive sentiment, not the buying-to-cover, that sustained the weeks-long price apprec…
Shalini Nagarajan
2 mins read
Robinhood pays $65 million to settle SEC probe over misleading communications with customers
While Robinhood marketed its trades as matching or exceeding its peers in quality, the brokerage pr…
Ben Winck
1 min read
The SEC charged a former Amazon manager and her family with illegally making $1.4 million from insider trading
The SEC alleged the former Amazon employee gave her husband confidential information about Amazon's…
Isabella Jibilian
2 mins read
Mark Cuban says the SEC is trying to regulate Coinbase through litigation and urges CEO Brian Armstrong to 'go on the offensive'
The SEC under Chairman Gary Gensler has been signaling for months that more crypto regulation is co…
Ethan Wu
2 mins read
Ripple is seeking documents from overseas crypto exchanges to fight its case against the SEC
Ripple says the documents will prove the SEC's claim that Ripple broke the Securities Act by sellin…