The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...
On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...
The US Securities and Exchange Commission has filed its arguments appealing a federal court judge’s ruling in its partially failed case against Ripple Labs — which has been slammed by the company’s ...
The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...
The U.S. Securities and Exchange Commission moved to drop its long-running lawsuit against crypto exchange Binance on Thursday, without providing an explanation in a court filing. The SEC and Binance ...
The Securities and Exchange Commission on Friday issued an order directing U.S. stock exchanges and the Financial Industry Regulatory Authority to file a new national market system plan, or NMS plan, ...
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