You Searched For "sec enforcement" and got 20 results
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2 mins read
SEC charges activist Carl Icahn with failing to disclose billions in stock pledges
Carl Icahn and Icahn Enterprises agreed to pay a combined $2 million in fines.
Filip De Mott
7 mins read
Read the letter OpenAI whistleblowers sent to the SEC calling for action on NDAs
OpenAI whistleblowers wrote to the Securities and Exchange Commission seeking an investigation into…
Jyoti Mann
2 mins read
Trump Media's auditor charged with 'massive fraud' by SEC
The SEC said Trump Media's accounting firm, BF Borgers, committed fraud in more than 1,500 filings …
Geoff Weiss
1 min read
Trump Media stock tumbles as the SEC charges its auditor with 'massive fraud'
Trump Media's auditor was a "sham" and committed "massive fraud" for over two years, regulators sai…
Jennifer Sor
2 mins read
The SEC says a hacker pulled off a 'SIM swap' attack on a cell phone to get control of the regulator's X account this month
A hacker gained control of an SEC cell phone number, reset the password for the @SECGov account, an…
Yuheng Zhan
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
The SEC is nearly doubling its crypto enforcement unit as the agency sees retail investors 'bearing the brunt of abuses' in the digital asset sector
The Wall Street regulator said it would add 20 positions to its Crypto Assets and Cyber Unit, bring…
Brian Evans
1 min read
The legal debate on whether cryptocurrencies are subject to SEC rules just got more complicated
US District Judge Jed Rakoff wrote that the Securities and Exchange Commission has plausible reason…
Filip De Mott
2 mins read
The SEC is suing Binance and CEO Changpeng Zhao for violating securities regulation
The world's largest crypto exchange is being sued by the SEC for operating an illegal exchange in t…
Max Adams
1 min read
3 companies will pay a total of $539 million to settle with the SEC over charges of illegal stock and digital-asset offerings
The offerings netted $487 million from investors over the course of multiple months, according to t…
Max Adams
1 min read
SEC charges California man with running a micro-cap stock fraud scheme that targeted retail investors
According to the SEC's complaint, Charlie Abujudeh fraudulently sold a number of microcap stocks to…
Emily Graffeo
1 min read
The SEC has awarded nearly $200 million to individual whistleblowers in 2021, beating its annual record
The Securities and Exchange Commission has given out nearly $200 million in whistleblower awards to…
Will Daniel
4 mins read
Here's what the SEC's 'all-out assault' on crypto means for the market's 2 biggest players
The SEC sued Binance and Coinbase this week in an "all-out assault" on crypto. Experts say it marks…
Max Adams
1 min read
Coinbase plunges 21% after the SEC sues the crypto exchange for breaking US securities laws
"Coinbase's alleged failures deprive investors of critical protections, including rulebooks that pr…
Matthew Fox
1 min read
The SEC just issued a $13 million fine in its first-ever DeFi enforcement action
"The federal securities laws apply with equal force to age-old frauds wrapped in today's latest tec…
Ethan Wu
2 mins read
The SEC charged a podcast host for running an $11 million Ponzi scheme it says helped fund a lakeside mansion and courtside NBA seats
Matthew Motil, the host of "The Cash Flow King" used social media to lure more than 50 investors in…
Phil Rosen
1 min read
The SEC has started enforcing a new law that could kick some Chinese companies off US exchanges
The law would require companies to submit documentation proving they are not owned or controlled by…
Isabelle Lee
1 min read
Coinbase falls 10% after the SEC sues rival crypto exchange Binance for violating securities law
Coinbase is currently under SEC investigation and could face an enforcement action tied to its list…
Matthew Fox
3 mins read
Here's why recent moves by the SEC and CFTC may be just the start of crypto's regulatory troubles
High-profile events like the crash of FTX and the implosion of TerraUSD earlier last year have made…
Morgan Chittum
2 mins read
SEC boss Gary Gensler warns Terra's crash will be followed by more crypto failures, and that will knock confidence in wider markets
Speaking to reporters after a House Appropriations Committee panel hearing Wednesday, SEC Chair Gen…