Tag: SEC

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.

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.

The US top market regulator has awarded $900,000 to a whistleblower who identified securities law violations overseas.

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

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.