Tag: SEC

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).

The Securities and Exchange Commission (SEC) has adopted new recordkeeping and reporting rules for security-based swap dealers and major-based swap participants which increase the need of tracking.

Facebook has revealed the potential market risks for its new cryptocurrency Libra.

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

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.

Online investing platform LendingClub Asset Management (LCA) and its former president Renaud Laplanche have been charged with fraud by the US SEC.