U.S. Securities And Exchange Commission
State Government: Agencies/Departments/Divisions | State Boards & Commissions
Recent News About U.S. Securities And Exchange Commission
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The U.S. Securities and Exchange Commission (SEC) announced on Aug. 28 that it had settled its first enforcement action related to non-fungible tokens (NFTs). SEC Commissioners Hester Peirce and Mark Uyeda dissented, saying that they disagreed with the SEC's application of the Howey test.
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The U.S. Securities and Exchange Commission has taken action against Titan Global Capital Management USA LLC, an investment adviser based in New York, for employing misleading hypothetical performance metrics in their advertisements.
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On July 28, the U.S. Securities and Exchange Commission declined to comment when asked on the approval status of Natural Asset Companies, giving no timeline on when a decision could be expected or where the filing is at in the process.
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In resolving Foreign Corrupt Practices Act (FCPA) violations, the Colombian conglomerate Grupo Aval Acciones y Valores S.A., also known as Grupo Aval S.A., and its bank subsidiary, Corporación Financiera Colombiana S.A. (Corficolombiana), agreed to pay $40 million.
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Seven individuals who acted as whistleblowers have been granted more than $104 million by the U.S. Securities and Exchange Commission.
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The Crypto Council for Innovation, an organization dedicated to advancing innovation in the cryptocurrency industry, said the U.S. Securities and Exchange Commission's recent enforcement actions in the crypto industry are an overreach of its regulatory authority stemming from the assumption that most digital assets are securities.
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In order to stop a fraudulent crypto asset scheme involving 18 defendants, the U.S. Securities and Exchange Commission successfully obtained emergency relief against a company based in Utah.
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The U.S. Securities and Exchange Commission recently announced charges against 11 Wall Street firms for reported extensive recordkeeping shortcomings.
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The U.S. Securities and Exchange Commission charged Richard Heart, the founder of Hex, with the misappropriation of millions from investor funds raised through unregistered crypto asset securities offerings, which garnered more than $1 billion.
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Quantstamp, a blockchain security firm, is set to return $28 million raised in a 2017 initial coin offering (ICO) after the U.S. Securities and Exchange Commission charged the California-based firm with "conducting an unregistered ICO of crypto asset securities."
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Public companies in the U.S. now must disclose any cybersecurity incidents they have, as well as their cybersecurity risk management plans, under new rules recently adopted by the U.S. Securities and Exchange Commission (SEC).
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A British national who resides primarily in the Bahamas and three of his associates were charged by the U.S. Securities and Exchange Commission (SEC) with insider trading. The investor allegedly provided nonpublic information to the others for the purpose of executing illegal trades, resulting in more than $500,000 in profits.
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The Securities and Exchange Commission recently issued a release regarding charges brought against Eliyahu Weinstein, a twice-convicted fraudster from Lakewood, N.J., and five other individuals for their involvement in a $38 million Ponzi-like scheme aimed at defrauding investors.
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The Securities and Exchange Commission (SEC) has announced charges against Merrill Lynch, Pierce, Fenner & Smith Inc. and its parent company, BAC North America Holding Co. (BACNAH) for failing to file hundreds of Suspicious Activity Reports (SARs) between 2009 and 2019.
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The Securities and Exchange Commission (SEC) has charged former U.S. Army financial counselor Caz L. Craffy with defrauding Gold Star family members of benefits, including of life insurance and survivor benefits received after the death of an active duty service member.
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The U.S. Securities and Exchange Commission charged Florida resident Sanjay Singh with operating a $112 million Ponzi scheme that targeted members of the Haitian-American community.
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The SEC has brought insider-trading charges against former DWAC board member Bruce Garelick, Michael Shvartsman and his company Rocket One Capital LLC, and Gerald Shvartsman.
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The SEC has filed charges against former executives of MusclePharm Corp., a nutritional supplement company based in Las Vegas, for allegedly engaging in fraudulent practices to prematurely recognize revenue.
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The SEC has brought insider-trading charges against former DWAC board member Bruce Garelick, Michael Shvartsman and his company Rocket One Capital LLC, and Gerald Shvartsman.
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The U.S. Securities and Exchange Commission announced the acquisition of an emergency relief package to aid in the protection of Binance.US customers’ assets.