Tag: Securities and Exchange Commission

Nigeria’s Securities and Exchange Commission (SEC) has warned capital market operators to stop supporting online investment trading platforms and providing access to unregistered foreign securities in Nigeria.

The Securities and Exchange Commission has awarded two separate whistleblowers a total of almost $3m.

San Antonio-based Floatme has netted $3.7m in equity financing.

The US' top financial market regulator has filed a complaint in federal court for the Eastern District of New York, accusing a New Yorker of conducting a $2.1m fraud out of at least two boiler rooms over six months in 2018 and 2019.

The Securities and Exchange Commission has awarded over $6m to joint whistleblowers whose information and assistance led to the successful enforcement of SEC and related actions.

The Securities and Exchange Commission has voted to potentially change the rules governing the securities market.

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

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.