277 Results from "Securities and Exchange Commission (SEC)"
/regulation
Subsidiaries of Charles Schwab have agreed to pay $187 million to settle SEC charges that they misled clients about fees for the broker's robo-advisor product.
14 June 2022
/crypto
The US Securities and Exchange Commission has nearly doubled the size of its crypto market and cyber enforcement unit, growing the team to 50 positions with the addition of 20 new staff.
03 May 2022
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
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
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
The Securities and Exchange Commission has rejected a bid to list a bitcoin-based exchange-traded fund.
15 November 2021
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
The Securities and Exchange Commission intends to sue Coinbase over a planned interest-earning product, says the cryptocurrency exchange.
08 September 2021
The Securities and Exchange Commission is pondering a crackdown on how broker-dealers and investment advisors use techniques such as behavioural prompts, differential marketing, and gamification.
30 August 2021
Circle has filed with the Securities and Exchange Commission to become a US Federally-chartered national commercial bank.
09 August 2021
The Securities and Exchange Commission has shut down a mother and son operation that raised more than $12 million from retailer investors by promising to use an AI "supercomputer" to invest the funds in securities trading and cryptocurrencies.
20 July 2021
Charles Schwab is facing a $200 million charge relating to a Securities and Exchange Commission (SEC) investigation into the firm's robo advisor.
07 July 2021
Welcome to Finextra. We use cookies to help us to deliver our services. You may change your preferences at our Cookie Centre.
Please read our Privacy Policy.