Tag: SEC
SEC charges five abusive brokers for defrauding pre-IPO companies
(Finance) – The United States Securities and Exchange Commission (SEC) today filed charges against Raymond J. Pirrello, Jr., Marcello Follano, Robert Cassino, Anthony DiTucci, Joseph Rivera and their companies based…
Elon Musk sued by SEC based on “Twitter”
Elon Musk, by the United States Securities and Exchange Commission. twitter was sued based on. The richest person in the world Elon Musk, United States Securities and Exchange Commission (The…
USA, SEC accuses 12 companies of failure to keep records
(Finance) – The Securities and Exchange Commission (SEC) announced charges against five broker-dealers, three broker-dealers and investment advisors, and two investment advisors for “widespread and long-standing failures to maintain and…
SEC calls on exchange managers to improve market data dissemination
(Finance) – The Securities and Exchange Commission (SEC) of the United States today directed the stock exchanges and the Financial Industry Regulatory Authority (FINRA) to file a new National Market…
Grayscale wins case against SEC to launch first Bitcoin ETF
(Tiper Stock Exchange) – Grayscale Investmentsthe world’s largest asset manager of digital currency assets, announced that the DC Circuit Court of Appeals has ruled in favor of Grayscale in its…
SEC First Enforcement Action Involving NFTs
(Finance) – The Securities and Exchange Commission (SEC) accused Impact Theorya Los Angeles-based media and entertainment company, to have conducted aunregistered offering of crypto asset securities in the form of…
US, SEC fines auditors in connection with Akazoo listing
(Finance) – The US Securities and Exchange Commission (SEC) has charged CroweUK (London-based auditing firm), its CEO Nigel Bostock and the senior auditor Matthew Stallabrass for the poor review of…
SEC sues Coinbase and Binance
The U.S. Securities and Exchange Commission, or SEC for short, coinbase And Binance He made a sound with the litigation steps he took. The U.S. Securities and Exchange Commission (SEC)…
NYSE, Citadel and Schwab against new SEC rules on stock trading
(Finance) – The largest US stock market manager, the largest retail brokerage firm and the largest market maker have asked the Securities and Exchange Commission (SEC) of the United States…
SEC proposes rule to resolve conflict of interest in ABS
(Finance) – More than 14 years after the great financial crisis and 12 after the approval of the Dodd-Frank Act – the main reform intervention of Wall Street after the…