Securities and Exchange Commission (SEC)

359 results about this entity

Period: 18 Oct 2004 - 15 Aug 2024

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/regulation

SEC penalises 26 more firms over WhatsApp communications

The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.

Judge orders Ripple to pay $125m penalty

/crypto

Judge orders Ripple to pay $125m penalty

Ripple has been ordered by a US judge to pay the Securities and Exchange Commission $125 million in penalties for improperly selling its XRP token to institutional investors.

/regulation

SEC revamps website

The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality.

Crypto bank Silvergate pays $63m to settle regulator charges

/crypto

Crypto bank Silvergate pays $63m to settle regulator charges

The parent company of crypto-focused bank Silvergate has agreed to pay $63 million to settle US regulatory charges about its anti-money laundering programme and the losses sustained during the collapse of FTX.

/regulation

SEC charges Consensys for unregistered sale of securities through its metaMask Staking service

The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking and another service it calls MetaMask Swaps.

US judge green lights Terraform's $4.5bn SEC settlement

/crypto

US judge green lights Terraform's $4.5bn SEC settlement

Terraform Labs and its former CEO Do Kwon have reached a $4.5 billion settlement with the SEC after a jury verdict held them liable for orchestrating a years-long fraud involving crypto asset securities that led to massive investor losses when the scheme unravelled.

Ethereum ETFs approval progresses with SEC announcement

/crypto

Ethereum ETFs approval progresses with SEC announcement

The US Securities and Exchange Commission (SEC) has approved rule changes in support of ethethereum ETFs, setting up the potential launch of 8 exchange traded funds.

ICE fined $10m for late cyber intrusion disclosure

/regulation

ICE fined $10m for late cyber intrusion disclosure

The Intercontinental Exchange has been hit with a $10 million penalty for the failure of its subsidiaries - including Nyse - to quickly report a cyber intrusion to the Securities and Exchange Commission.

Biden opposes digital asset bill

/crypto

Biden opposes digital asset bill

President Biden and SEC chair Gary Gensler have both criticised a new cryptocurrency bill ahead of a US House of Representatives vote.

Genesis to pay $21m SEC fine

/regulation

Genesis to pay $21m SEC fine

Genesis has agreed to pay a $21 million civil penalty to the Securities and Exchange Commission (SEC) for the unregistered offer and sale of securities.

/regulation

SEC issues more communication fines

The Securities and Exchange Commission today announced charges against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.

SEC says SIM swap attack behind X hack

/security

SEC says SIM swap attack behind X hack

The Securities and Exchange Commission says a "SIM swap" attack was to blame for the hack on its X account earlier this month.

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