Tag: SEC

The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator.

The US top financial regulator has awarded a whistleblower with over $10m for their role in a successful investigation.

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.

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.

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.

The Securities and Exchange Commission has announced plans to amend the data security rules surrounding US securities trading.

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.

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.

Wells Fargo & Co has reportedly agreed to pay $3bn as a settlement after a criminal and civil investigation into fraudulent sales practices.

Broadridge Financial Solutions has priced $750m in senior notes due 2029 in an offering registered with the US Securities and Exchange Commission.