Tag: SEC

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.

Corvus Insurance, a platform helping brokers and policyholders better predict and prevent risk, has raised up to $31m in a new funding round.

The US Securities and Exchange Commission (SEC) has financially rewarded three individuals for submitting a tip which alerted the regulator to fraud scheme targeting retail investors.

Business payments software company Bill.com is eyeing a $100m initial public offering (IPO), just months after it closed an $88m funding round.

Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.

The US Securities and Exchange Commission (SEC) has halted the $1.7bn digital token offering in the US and overseas of Telegram Group.

US regulators have come together to issue a joint statement reminding those engaged with digital asset to meet anti-money laundering (AML) and counter financing terrorism (CFT).