Securities and Exchange Commission (SEC) - News, Articles & Research

Company announcement/sustainable

SEC proposes rules on climate-related disclosures

The Securities and Exchange Commission today proposed rule changes that would require registrants to include certain climate-related disclosures in their registration statements and periodic reports, including information about climate-related risks that are reasonably likely to have a material impact on their business, results of operations, or financial condition, and certain climate-related financial statement metrics in a note to their audited financial statements.

22 March 2022

Company announcement/security

SEC poposes new cybersecurity disclosure rules

The Securities and Exchange Commission today proposed amendments to its rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incident reporting by public companies.

09 March 2022

News/crypto

SEC charges siblings over $124m crypto scam

The Securities and Exchange Commission has charged a brother and sister with defrauding thousands of victims out of more than $124 million in a crypto scam.

09 March 2022

Company announcement/regulation

SEC throws the book at BlockFi

The Securities and Exchange Commission today charged BlockFi Lending LLC (BlockFi) with failing to register the offers and sales of its retail crypto lending product.

14 February 2022

News/regulation

SEC votes in favour of T+1

The Securities and Exchange Commission has voted to propose rule changes to reduce risks in the clearance and settlement of securities, by reducing the settlement cycle to one business day.

10 February 2022

Company announcement/regulation

SEC approves blockchain-powered exchange BSTX

On January 27, 2022, the U.S. Securities and Exchange Commission (“SEC”) issued an order (the “Order) approving the creation of BSTX as a trading facility of BOX Exchange. BSTX, a joint venture of tZERO Group, Inc., and BOX Digital Markets LLC (“BOX Digital”) will be the first fully-automated, price/time priority execution exchange for trading securities that is both regulated by the SEC and leverages private blockchain technologies.

28 January 2022

Company announcement/crime

SEC charges Russians in $80m hacking and trading scheme

The Securities and Exchange Commission today announced fraud charges against five Russian nationals for engaging in a multi-year scheme to profit from stolen corporate earnings announcements obtained by hacking into the systems of two U.S.-based filing agent companies before the announcements were made public.

20 December 2021

News/regulation

JPMorgan Chase fined $200 million for conducting business on WhatsApp

JPMorgan Chase has received a $125 million penalty from the Securities and Exchange Commission (SEC), for allowing Wall Street employees to use apps including WhatsApp to get around US federal record-keeping laws.

20 December 2021

Company announcement/regulation

SEC proposes update to electronic recordkeeping requirements

The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs).

19 November 2021

News/crypto

SEC rejects bitcoin-based ETF

The Securities and Exchange Commission has rejected a bid to list a bitcoin-based exchange-traded fund.

15 November 2021

Company announcement/regulation

SEC Commissioner outlines DeFi risk and opportunities

Whether in the news, social media, popular entertainment, and increasingly in people’s portfolios, crypto is now part of the vernacular.[1]

09 November 2021

News/crypto

Coinbase ditches Lend programme after SEC warning

Coinbase has abandoned its planned interest-earning product two weeks after the cryptocurrency exchange revealed that the SEC was threatening to sue over the issue.

20 September 2021