Tag: SEC
SEC proposal could see gig workers get up to 15% of...
The US Securities and Exchange Commission (SEC) has reportedly proposed a measure that would allow gig workers to get up to 15% of their compensation in stock.
SEC awards $900,000 to whistleblower
The US top market regulator has awarded $900,000 to a whistleblower who identified securities law violations overseas.
The SEC introduces new rule to make it easier for foreign...
The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator.
SEC awards over $10m to whistleblower
The US top financial regulator has awarded a whistleblower with over $10m for their role in a successful investigation.
Kik Interactive fined $5m for unlawful tokens sale
Chat app developer Kik Interactive has entered into a settlement with the Securities and Exchange Commission for the unlawful sale tokens in 2017 and has agreed to pay $5m in fines.
McAfee founder faces fraud charges for alleged $23m ICO scheme
John McAfee, the founder of cybersecurity company McAfee, is facing criminal charges after the Securities and Exchange Commission accused him of having failed to be transparent about being paid to promote initial coin offerings.
Robinhood could be facing $10m fraud fine for failing to properly...
Stocktrading platform Robinhood could reportedly be facing a $10m fraud fine for failing to properly disclose revenue, pending the outcomes of an ongoing Securities and Exchange Commission probe.
SEC proposes new data security rules to protect securities traders
The Securities and Exchange Commission has announced plans to amend the data security rules surrounding US securities trading.
US SEC issues $5m penalty to Morgan Stanley for misleading clients
The US’ Securities and Exchange Commission (SEC) has issued a $5m penalty to Morgan Stanley Smith Barney after it providing misleading information to clients in its retail wrap fees programmes.
SEC to hold virtual coffee meetings with public to discuss coronavirus...
The Securities and Exchange Commission (SEC) is looking to host “virtual coffee breaks” to engage with players in the financial market to discuss impacts of the coronavirus.
