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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A number of individuals and organizations publicly commented on the Security and Exchange Commission's (SEC) consideration of a proposed rule change by the New York Stock Exchange (NYSE) regarding listing standards for Natural Asset Companies (NACs). The SEC granted an extension for further consideration until Jan. 2, 2024.
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In an Oct. 25 letter to the U.S. Securities and Exchange Commission (SEC), Ernst & Young recommended that the NYSE and the SEC seek additional input from a diverse group of assurance providers before finalizing which information would require assurance, the level of assurance and, where applicable, the transition to reasonable assurance.
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The U.S. Securities and Exchange Commission (SEC) said in a recent report that the agency is struggling to hire cryptocurrency experts because the candidates would be required to sell any crypto assets they hold. The report, titled The Inspector General’s Statement on the SEC’s Management and Performance Challenges, was published in October and modified on Nov. 2.
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The Securities and Exchange Commission (SEC) has charged BlackRock Advisors, LLC for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised.
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On October 4, the SEC proposed a new investment vehicle called the "Natural Asset Company (NAC)," created by the Intrinsic Exchange Group (IEG) in partnership with the NYSE and supported by organizations like the Rockefeller Foundation and the World Wildlife Fund. The NAC is designed to allow elite investors and governments to profit from protecting natural resources linked to climate crisis policies, including the 30x30 agenda, net-zero, and decarbonization, but some argue that its objective is more about political and financial control of global natural resources, especially in the United States, prompting calls for immediate congressional oversight.
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On September 20, Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), made an important announcement. He stated that the Commission had voted to update its rules in accordance with the Privacy Act of 1974. According to the announcement, the improvements are being made in order to modernize the manner in which the SEC keeps and handles personal information within its record-keeping systems.
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The Securities and Exchange Commission (SEC) is taking measures to protect investors by adding companies suspected of fraud on a list known as PAUSE.
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The purpose of the project is to demonstrate the company's continued commitment to making the workplace more welcoming and inclusive for all employees.
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Paradigm, a research-driven tech investment firm, has filed an amicus brief in support of Binance's motion to dismiss the lawsuit filed against it by the U.S. Securities and Exchange Commission (SEC). The filing states that Paradigm has not invested in Binance and has no financial interest in the case but believes the SEC has overstepped its authority.
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The Securities and Exchange Commission has accused Los Angeles-based media and entertainment company Impact Theory of conducting an unregistered offering of crypto asset securities, specifically non-fungible tokens (NFTs). The company, headquartered in Los Angeles, managed to raise around $30 million through this endeavor.
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The U.S. Securities and Exchange Commission recently filed charges against John DeSalvo, a former New Jersey corrections officer, for orchestrating a cryptocurrency fraud scheme that primarily targeted law enforcement personnel.
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The U.S. Securities and Exchange Commission recently brought insider trading charges against Romero Cabral da Costa Neto, who allegedly engaged in trading activities based on confidential information during his tenure as a visiting attorney at a global law firm.
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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.