Tag: Securities and Exchange Commission
SEC sues investment advisers for allegedly misrepresenting its services
The Securities and Exchange Commission has filed an emergency action against Florida-based investment adviser Coral Gables Asset Management because of an alleged fraudulent offering.
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 regulators offer clarity on application for opportunity zone investments
US regulators have released an explanation of application to the federal and state securities laws for opportunity zone investments.
FCA, SEC sign MoUs to reaffirm cooperation after Brexit
The UK’s Financial Conduct Authority (FCA) and US Securities and Exchange Commission (SEC) have signed two memoranda of understandings (MoU) to reaffirm cooperation following Brexit.
Two former AriseBank execs fined $2.5m in fraud claim
Two former AriseBank executives have reportedly been fined $2.5m over fraud allegations surrounding an ICO.
SEC launches FinTech hub to engage with startups
The U.S. Securities and Exchange Commission has launched a new hub to engage with companies using blockchain, artificial intelligence and Cryptocurrencies, among others
SEC charges Ameriprise with for failing to safeguard client assets
The Securities and Exchange Commission has charged Ameriprise Financial Services for failing to safeguard client assets.
SEC launches probe into ICO presales
The Securities and Exchange Commission is reportedly looking into a number of ICOs that were completed last year.
SEC files charges against former crypto exchange
The Securities and Exchange Commission has filed charges against a former cryptocurrency exchange and its founder.
