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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An American investment management firm that concentrates on active fixed-income management has agreed to pay a combined $9 million penalty after the U.S. Securities and Exchange Commission found that the company violated disclosure plus policies and procedures law.
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The U.S. Securities and Exchange Commission has filed complaints against cryptocurrency companies Coinbase Inc. and Binance Holdings Ltd. for several alleged securities law violations.
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In a press release dated June 6, 2023, Kristin Smith, the CEO of the Blockchain Association, released a statement regarding recent actions taken by the Securities and Exchange Commission (SEC) in relation to digital assets.
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Sen. Cynthia Lummis (R-WY) has criticized the U.S. Securities and Exchange Commission (SEC) for filing lawsuits against major crypto exchanges, rather than providing the exchanges with a clear legal framework for compliance.
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Following the announcement the US Securities and Exchange Commission had sued Binance, the world’s largest cryptocurrency exchange, prolific crypto legal commentator John Deaton criticized the SEC’s tactics of “regulation by enforcement” and “lawsuit by media” to address cryptocurrencies.
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The Securities and Exchange Commission has taken legal action against an investment adviser for breaching regulations outlined in the Liquidity Rule.
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The Securities and Exchange Commission announced charges against Classic Asset Management LLC and Douglas G. Schmitz, an indirect part-owner and investment adviser representative, for breach of fiduciary duty by utilizing leveraged exchange-traded funds in client accounts.
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The U.S. Securities and Exchange Commission (SEC) has adopted amendments to a confidential reporting form for certain SEC-registered investment advisers to private funds.
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The Securities and Exchange Commission (SEC) has adopted amendments that modernize the disclosure requirements for issuers' equity securities repurchases, according to a news release.
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Eric R. Werner was recently named the director of the Fort Worth Securities and Exchange Commission regional office.
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SEC Appoints Deborah J. Jeffrey as Inspector General
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Bittrex, Inc. and its co-founder and former CEO William Shihara have been charged by the U.S. Securities and Exchange Commission with running an unlicensed national securities exchange, broker, and clearing agency, according to a news release.
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The U.S. Securities and Exchange Commission has reopened the comment period and offered further details on proposed changes to the Exchange Act Rule 3b-16 definition of "exchange," a news release said.
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During a House Financial Services Committee hearing last week, lawmakers raised concerns about the regulatory approach to digital assets in the U.S. and highlighted the lack of a clear regulatory regime for trading platforms.
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News Release: Washington, DC -- As local, state, and federal environmental agencies continue to address air, water, and soil quality concerns on the ground in East Palestine, Ohio, the U.S. Department of Transportation is proposing major investments in rail safety and rail infrastructure, as well as highlighting continued work to hold Norfolk Southern accountable and make our railways safer.
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News Release: WASHINGTON, D.C.- The Federal Railroad Administration (FRA) today announced its plan to conduct a 60-day supplemental safety assessment of Norfolk Southern Railway following multiple safety incidents. This in-depth assessment of Norfolk Southern is in addition to a number of actions taken by the U.S. Department of Transportation over the past several weeks to improve freight rail safety and accountability to protect workers and communities.
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News Release: The U.S. Department of Transportation (USDOT) fully supports the Justice Department’s lawsuit under the Clayton Act to block the proposed JetBlue-Spirit merger. Robust airline competition makes it more it affordable to fly. Travelers depend on low-cost flight options to see the world, go home for the . .
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News Release: WASHINGTON - Today, 18 large transit projects in 11 states across the nation were recommended to receive $4.45 billion for construction by U.S. Transportation Secretary Pete Buttigieg. These large rail and bus rapid transit (BRT) projects were recommended to receive federal support in President Biden's . .
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News Release: WASHINGTON - Today, the U.S. Department of Transportation (USDOT) is making it easier for parents to avoid paying junk fees to sit with their children when they fly by rolling out a new family seating dashboard that highlights the airlines that guarantee fee-free family seating, and those that do not. .
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News Release: WASHINGTON, DC - As local, state, and federal environmental agencies continue to address air, water and soil quality concerns on the ground in East Palestine, Ohio, the U.S. Department of Transportation is marking significant early progress on its efforts to hold the rail industry accountable and to work with Congress on key rail safety reforms that will improve safety for communities and rail workers in the long-term.