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Keyword: SEC

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court gavel regulatory

So-called bond flippers prioritized over retail, institutional clients, regulator alleged

Silver referee whistle

Agency pays near-record US$110 million to tipster

Young plant

NYSE seeks to list novel asset class that captures the value of natural assets

Abstract,Golden Bitcoin money on computer.

The action involves online crypto-lending platform BitConnect and related individuals

  • By: Staff
  • September 2, 2021 September 2, 2021
  • 17:14
Silver referee whistle

The SEC has awarded US$2.6 million to an assortment of whistleblowers

Financial stock market graph on technology abstract background

The U.S. regulator released APIs for annual and quarterly filings

Lawyer writing in legal book

A broker failed to mark trades as short based on bad information from the adviser

fintech icon on abstract financial technology background represent Blockchain and Fintech Investment Financial Internet Technology Concept

A popular trading platform has settled allegations that it violated rules as an unregistered exchange

Wooden gavel used by a judge or auctioneer

Two men from Florida agreed to the penalties without admitting or denying the charges

  • By: Staff
  • August 6, 2021 August 6, 2021
  • 13:38

The US$8.1-million settlement will be distributed to harmed investors