106 stories found
Accelevation, a medical technology firm backed by Japanese conglomerate Olympus, has formally filed an S-1 registration statement with the U.S. Securities and Exchange Commission for a public stock offering. The filing initiates the regulatory review process ahead of a potential market debut.
The U.S. Securities and Exchange Commission has penalized a former White House official for illegally trading stocks based on confidential information obtained from a presidential speech.
The U.S. Securities and Exchange Commission has reportedly issued subpoenas to several Wall Street lenders as part of an investigation into a 'Situational Awareness' meltdown, according to a source.
The U.S. Securities and Exchange Commission (SEC) has put forth a new proposal concerning cryptocurrency regulations, sparking discussions within the crypto community.
The U.S. Securities and Exchange Commission (SEC) has proposed new rules for investment contracts involving crypto assets, as the Clarity Act continues to face delays.
The U.S. Securities and Exchange Commission (SEC) has canceled a scheduled Friday meeting that was set to discuss new crypto-related regulations.
The U.S. Securities and Exchange Commission (SEC) has announced an exemption for certain data center bonds from its asset-backed securities rules.
The U.S. Securities and Exchange Commission (SEC) has received over 200,000 comments opposing its proposal to make quarterly earnings reports optional for public companies.
A U.S. Securities and Exchange Commission (SEC) proposal to shift to semiannual reporting has sparked public backlash, though Exxon has voiced its support for the change. The proposal aims to alter the frequency of financial disclosures by companies.
The U.S. Securities and Exchange Commission has formed a new working group to address soaring retail investor losses due to fraud.
The U.S. Securities and Exchange Commission has reportedly dropped its investigation into ConsenSys's MetaMask, concluding the case with no enforcement action, fines, or findings of wrongdoing.
The U.S. Securities and Exchange Commission (SEC) has requested public feedback on some of Wall Street's most unconventional Exchange-Traded Funds (ETFs).
The U.S. Securities and Exchange Commission (SEC) has put forth a proposal to eliminate the trade-through rule, which governs equities execution.
The U.S. Securities and Exchange Commission (SEC) has announced the appointment of five new members to its Small Business Advisory Committee.
The U.S. Securities and Exchange Commission (SEC) is defending its settlement agreement with Elon Musk after a judge cited 'red flags' regarding the terms of the deal.
The U.S. Securities and Exchange Commission (SEC) has proposed scrapping its climate-related disclosure rules. This move would rescind the Biden-era regulations concerning climate change disclosures for companies.
Michael Burry, known for predicting the 2008 financial crash, has reportedly issued a strong warning to the U.S. Securities and Exchange Commission.
The U.S. Securities and Exchange Commission (SEC) has reportedly delayed an exemption for innovation in tokenized stocks, raising concerns in the financial technology sector.
The U.S. Securities and Exchange Commission (SEC) is considering proposals to reduce issuer disclosures, aiming to encourage more companies to go public through IPOs.
The U.S. Securities and Exchange Commission (SEC) has once again postponed its decision on prediction market exchange-traded funds (ETFs), even as the Commodity Futures Trading Commission (CFTC) expresses support for the sector.
The U.S. Securities and Exchange Commission (SEC) is taking steps to eliminate the 'gag rule' that prevents firms from denying wrongdoing after settling agency accusations.
The U.S. Securities and Exchange Commission (SEC) has released a proposal that would allow Wall Street firms to adopt optional semiannual reporting.
Elon Musk has reached a settlement with the U.S. Securities and Exchange Commission (SEC) regarding his disclosures related to the acquisition of Twitter shares. As part of the agreement, Musk will pay a $1.5 million fine.
The U.S. Securities and Exchange Commission (SEC) has issued a warning to American investors regarding the increasing prevalence of phishing, smishing, and vishing scams. The advisory aims to educate the public on how to protect themselves from these fraudulent activities.
The U.S. Securities and Exchange Commission is reportedly facing challenges in identifying and locating victims in certain cases.
The U.S. Securities and Exchange Commission (SEC) has initiated a public comment period regarding a controversial new trading database. The move invites feedback on the proposed system from stakeholders.
The U.S. Securities and Exchange Commission (SEC) has removed a previous limit on day-trading activity for investors. This regulatory change led to a significant jump in the shares of several investment and brokerage platforms, including Robinhood, Webull, and eToro.
The U.S. Securities and Exchange Commission (SEC) has issued an exemption for 'crypto interface providers' from broker-dealer registration requirements. This decision clarifies regulatory obligations for certain entities operating in the cryptocurrency space.
The U.S. Securities and Exchange Commission (SEC) and Elon Musk are no longer pursuing a quick settlement and are instead preparing for a courtroom battle over Musk's 2022 takeover of Twitter.
The U.S. Securities and Exchange Commission (SEC) has introduced a major alteration to its cryptocurrency regulations, prompting analysis on its potential implications for Bitcoin and the broader crypto market.
The U.S. Securities and Exchange Commission (SEC) has provided clarifications regarding cryptocurrency laws, offering guidance on their implications for investors.
The U.S. Securities and Exchange Commission (SEC) has released its interpretation on how existing securities laws apply to crypto assets, providing clarity for the digital asset market.
The U.S. Securities and Exchange Commission (SEC) is reportedly preparing a proposal that would eliminate the requirement for companies to file quarterly earnings reports.
The U.S. Securities and Exchange Commission has decided to scrap its civil fraud case against the founder of the crypto social network BitClout.
The New York Stock Exchange (NYSE) has agreed to pay a $9 million civil penalty to the U.S. Securities and Exchange Commission (SEC) in connection with a 2023 computer error.
The U.S. Securities and Exchange Commission has concluded and dropped its investigation into LPL's cash sweep practices.
The U.S. Securities and Exchange Commission is developing a framework to allow everyday investors greater participation in private markets and broaden adviser fee structures.
The U.S. Securities and Exchange Commission has advanced a plan to require public companies to disclose more details about executive compensation, aiming to increase transparency for shareholders.
The U.S. Securities and Exchange Commission (SEC) has reportedly issued subpoenas to several Wall Street banks regarding their practices related to 'Situational Awareness,' as reported by The New York Times.
EigenQ and Silicon Valley Acquisition have jointly submitted a draft S-4 registration statement to the U.S. Securities and Exchange Commission (SEC). This filing is typically associated with business combinations or mergers.
The U.S. Securities and Exchange Commission (SEC) has proposed long-awaited new rules for crypto assets. These new regulations aim to provide a clearer framework for the cryptocurrency market.
The U.S. Securities and Exchange Commission (SEC) has announced an exemption for certain data center bonds from its asset-backed securities rules, making it easier for data center owners to sell asset-backed securities and potentially opening the door for more debt sales as tech firms seek funding for artificial intelligence.
The status of highly leveraged Exchange Traded Funds (ETFs) continues to be uncertain as they remain under review by the U.S. Securities and Exchange Commission (SEC).
A commissioner from the U.S. Securities and Exchange Commission (SEC) has issued a blunt warning regarding crypto vaults and lending services.
The U.S. Securities and Exchange Commission (SEC) has proposed making electronic delivery the default method for regulatory information.
The U.S. Securities and Exchange Commission has indicated it will not object to UBS's proposed crisis resolution plan.
The U.S. Securities and Exchange Commission (SEC) has appointed an executive from JPMorgan Chase to serve as its new operating chief.
Bank of America's Merrill Lynch unit has been fined $7.5 million by the U.S. Securities and Exchange Commission (SEC).
Artificial intelligence research company OpenAI has reportedly filed its initial public offering (IPO) paperwork with the U.S. Securities and Exchange Commission, signaling a potential move towards becoming a publicly traded company.
Anthropic, a leading AI company, has taken its initial step towards becoming a publicly traded company by filing confidentially with the U.S. Securities and Exchange Commission (SEC) for an Initial Public Offering (IPO).
The U.S. Securities and Exchange Commission (SEC) is moving to repeal a rule that requires companies to report their greenhouse gas emissions and climate-related risks. This action could significantly alter corporate climate disclosures.
Paxos has secured approval from the U.S. Securities and Exchange Commission (SEC) to operate as a clearing agency for its blockchain settlement business. This marks a significant regulatory milestone for the company in the digital asset space.
The U.S. Securities and Exchange Commission (SEC) has delayed a plan that would have allowed crypto firms exemptions to trade tokenized versions of stocks. This decision has reportedly led to a downturn in the cryptocurrency market.
The U.S. Securities and Exchange Commission (SEC) has delayed decisions on crypto stock tokens, facing significant pushback and concerns from Wall Street firms.
The U.S. Securities and Exchange Commission (SEC) is reportedly preparing a plan to allow the trading of cryptocurrency versions of traditional stocks. This development was reported by Bloomberg News.
The U.S. Securities and Exchange Commission (SEC) has identified private credit and retail fraud as its top enforcement priorities, signaling a focus on these areas for regulatory action.
The U.S. Securities and Exchange Commission (SEC) has unveiled a plan that would allow companies to transition from quarterly to semiannual financial reports.
A recent decision or action by the U.S. Securities and Exchange Commission (SEC) is anticipated to influence how cryptocurrency investors strategize their market timing. This development could lead to significant changes in investment approaches within the crypto market.
The U.S. Securities and Exchange Commission's ongoing review process has caused a delay in the launch of the first prediction-market exchange-traded funds. This postponement affects the introduction of these new investment products.
Financial commentator Jim Cramer has stated that he believes Allbirds (BIRD) should be investigated by the U.S. Securities and Exchange Commission.
Jersey Mike's, the popular sandwich chain, has confidentially submitted its filing with the U.S. Securities and Exchange Commission (SEC) to pursue an initial public offering (IPO).
The U.S. Securities and Exchange Commission (SEC) has initiated a public comment period regarding a controversial database designed to track trading activity.
The U.S. Securities and Exchange Commission (SEC) has approved a new plan that will remove day-trading limits for small investors, potentially opening up more trading opportunities.
The U.S. Securities and Exchange Commission (SEC) has tapped an attorney from Gibson Dunn to serve as its new enforcement director, a key leadership appointment for the regulatory body.
Elon Musk and the U.S. Securities and Exchange Commission (SEC) have signaled that their ongoing legal battle over Musk's Twitter share stockpile could proceed to trial.
This article provides an analysis of the U.S. Securities and Exchange Commission's (SEC) framework and criteria for classifying digital tokens, a critical aspect for cryptocurrency regulation and market participants.
The U.S. Securities and Exchange Commission (SEC) has reportedly classified XRP as a digital commodity, placing it in the same category as Bitcoin, with implications for its market price.
Elon Musk and the U.S. Securities and Exchange Commission are reportedly in discussions to settle a lawsuit concerning Musk's Twitter disclosures from 2022.
The U.S. Securities and Exchange Commission (SEC) is reportedly preparing a proposal that would eliminate the requirement for companies to file quarterly earnings reports.
The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have signed a Memorandum of Understanding (MOU) to enhance coordination and collaboration between the two regulatory bodies.
Justin Sun has reached a settlement with the U.S. Securities and Exchange Commission (SEC) in a fraud case, agreeing to pay $10 million.
The U.S. Securities and Exchange Commission is advancing a regulatory plan to eliminate or significantly modify existing rules governing shareholder proxy proposals.
The popular frozen food brand Farm Rich has been designated again as the official frozen snack supplier for the U.S. Securities and Exchange Commission headquarters.
The CEO of OTC Markets highlighted how 250 years of market history are now confronting a new rule from the U.S. Securities and Exchange Commission.
The U.S. Securities and Exchange Commission has filed a lawsuit against former executives of Tricolor, an auto lender that previously collapsed.
The U.S. Securities and Exchange Commission (SEC) is reportedly planning to release a framework for tokenized versions of traditional stocks, potentially paving the way for crypto versions of favorite equities.
The U.S. Securities and Exchange Commission (SEC) has granted exemptions to certain data center bonds from specific securitization regulations.
The U.S. Securities and Exchange Commission (SEC) is implementing measures to clear the path and make it easier for more companies to go public.
The U.S. Securities and Exchange Commission (SEC) has settled a Freedom of Information Act (FOIA) lawsuit with Coinbase. The lawsuit concerned lost messages, as reported in a Wall Street Journal op-ed.
The U.S. Securities and Exchange Commission (SEC) is actively developing new regulations for the cryptocurrency sector, a move that could significantly impact crypto investors and the broader digital asset market.
The U.S. Securities and Exchange Commission (SEC) is scheduled to host a virtual roundtable discussion focusing on initial public offerings (IPOs) and broader access to public markets.
The U.S. Securities and Exchange Commission (SEC) is investigating alleged insider trading activities that reportedly cost Susquehanna International Group millions of dollars.
The U.S. Securities and Exchange Commission (SEC) has put forward a proposal to roll back the existing 'trade-through' ban, which could impact market trading rules.
The U.S. Securities and Exchange Commission is scheduled to vote next week on a plan to eliminate the 'trade-through' rule, which currently requires brokers to execute trades at the best available price across all exchanges.
The U.S. Securities and Exchange Commission (SEC) has announced the appointment of four new members to its Investor Advisory Committee.
The U.S. Securities and Exchange Commission has filed charges against a Texas man for allegedly orchestrating a multimillion-dollar fraud scheme involving AI and crypto assets.
The Chairman of the U.S. Securities and Exchange Commission (SEC) is reportedly exploring changes to 'gun-jumping' rules, aiming to stimulate more initial public offerings (IPOs).
The U.S. Securities and Exchange Commission has granted approval for Nasdaq Bitcoin Index Options.
The U.S. Securities and Exchange Commission has put forward new rules aimed at streamlining the reporting requirements for public companies, seeking to reduce complexity and burden.
The U.S. Securities and Exchange Commission (SEC) is reportedly preparing a plan that would allow for the trading of crypto versions of traditional stocks.
Jay Clayton, former chairman of the U.S. Securities and Exchange Commission, stated that he does not observe excessive leverage within the private credit market.
The U.S. Securities and Exchange Commission (SEC) has proposed new rules that would require public companies to file semi-annual financial reports.
Elon Musk has reportedly settled a lawsuit with the U.S. Securities and Exchange Commission for $1.5 million, related to his disclosure of Twitter stock purchases.
The U.S. Securities and Exchange Commission (SEC) is currently reviewing an extensive 85-item proposal that has the potential to significantly influence the future listings of Bitcoin and XRP Exchange-Traded Funds (ETFs).
The U.S. Securities and Exchange Commission (SEC) is reportedly monitoring emerging pressures within the private credit market.
The U.S. Securities and Exchange Commission (SEC) has launched a new podcast, with its inaugural episode focusing on the topic of cryptocurrency regulation and market oversight.
The U.S. Securities and Exchange Commission (SEC) is soliciting public input on proposals to streamline and reduce the costs associated with its Consolidated Audit Trail (CAT) trade data collection.
The U.S. Securities and Exchange Commission (SEC) has reportedly given its approval or 'green light' to decentralized finance (DeFi), signaling a potential shift in regulatory stance.
Indian billionaire Gautam Adani is seeking to dismiss a civil fraud case brought by the U.S. Securities and Exchange Commission, arguing the court lacks personal jurisdiction and citing overreach in the alleged bribery scheme.
A report indicates that the U.S. Securities and Exchange Commission's proposal to switch to semiannual earnings disclosure is currently under review at the White House.
The U.S. Securities and Exchange Commission (SEC) has concluded its four-year-old probe into electric vehicle startup Faraday Future, deciding to take no further action, leading to a surge in the company's stock.
The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) are taking steps to define which digital assets will be classified as securities.
The U.S. Securities and Exchange Commission (SEC) is reportedly preparing a proposal to eliminate the requirement for companies to report earnings quarterly, a move that could significantly alter corporate disclosure practices and is now being widely reported.
The U.S. Securities and Exchange Commission has dropped its case against Nader Al-Naji, the founder of the decentralized social media platform BitClout.
Legal experts suggest that a deal involving crypto figure Justin Sun is complicating the U.S. Securities and Exchange Commission's stance on cryptocurrency regulation.
The U.S. Securities and Exchange Commission (SEC) is reportedly adopting a more lenient approach to enforcement actions.