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365 Results from "Securities and Exchange Commission (SEC)"

/ai

SEC roundtable assesses AI development and rules

Good morning, and welcome to the SEC’s roundtable on artificial intelligence (AI).[1] Thank you for joining us today, both in-person and virtually, for this event.

/security

SEC exempts personally identifiable information from Consolidated Audit Trail

The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural persons.

/regulation

Digital Currency Group to pay $38m to settle SEC charges

The Securities and Exchange Commission today announced that Digital Currency Group Inc. (DCG), and Soichoro “Michael” Moro, the former CEO of DCG’s now-defunct subsidiary, Genesis Global Capital LLC, will pay a combined $38.5 million in civil penalties to settle charges for misleading investors about Genesis’s financial condition.

/markets

SEC charges Elon Musk for fleecing Twitter shareholders

The Securities and Exchange Commission announced today that it has filed an action against Elon Musk alleging that he failed to timely file a beneficial ownership report with the Commission after acquiring beneficial ownership of more than five percent of the outstanding shares of Twitter, Inc. common stock, in violation of the beneficial ownership reporting requirements under the Securities Exchange Act of 1934 (“Exchange Act”).

/regulation

Twelve firms to pay $63.1 million in fines for recordkeeping failures

The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to maintain and preserve electronic communications, in violation of recordkeeping provisions of the federal securities laws.

/regulation

SEC fines Deutsche Bank $4 million for late filing of suspicious activity reports

The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious Activity Reports (SARs) in a timely manner.

/regulation

SEC charges Cantor Fitzgerlad over misleading Spac disclosures

The Securities and Exchange Commission today charged global financial services firm Cantor Fitzgerald, L.P. with causing two special purpose acquisition companies (SPACs) that it controlled to make misleading statements to investors ahead of their initial public offerings (IPOs).

/regulation

SEC hits more firms with penalties over recordkeeping failures

The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications in violation of recordkeeping provisions of the federal securities laws.

/regulation

SEC hits more firms with WhatsApp fines

The Securities and Exchange Commission today announced charges against 12 municipal advisors for failures by the firms and their personnel to maintain and preserve certain electronic communications.

/regulation

SEC charges six ratings agencies with record-keeping failures

The Securities and Exchange Commission today announced charges against six nationally recognized statistical rating organizations, or NRSROs, for significant failures by the firms and their personnel to maintain and preserve electronic communications.

/regulation

SEC penalises 26 more firms over WhatsApp communications

The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.

/regulation

SEC revamps website

The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality.

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