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 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.
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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.