You Searched For "sec enforcement" and got 20 results
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1 min read
The SEC doesn't want to let firms and individuals get by without admitting wrongdoing anymore as part of enforcement actions
Wrongdoing admissions will strengthen the deterrent value of enforcement actions, the head of the S…
Carla Mozée
1 min read
The SEC has started enforcing a new law that could kick some Chinese companies off US exchanges
The law would require companies to submit documentation proving they are not owned or controlled by…
Isabelle Lee
1 min read
The SEC just issued a $13 million fine in its first-ever DeFi enforcement action
"The federal securities laws apply with equal force to age-old frauds wrapped in today's latest tec…
Ethan Wu
1 min read
3 companies will pay a total of $539 million to settle with the SEC over charges of illegal stock and digital-asset offerings
The offerings netted $487 million from investors over the course of multiple months, according to t…
Max Adams
2 mins read
Under Armour executives were warned they could be charged over accounting disclosures that may have violated securities laws
The SEC warned Under Armour executives Kevin A. Plank and David E. Bergman that they could face cha…
Isabella Jibilian
7 mins read
Read the letter OpenAI whistleblowers sent to the SEC calling for action on NDAs
OpenAI whistleblowers wrote to the Securities and Exchange Commission seeking an investigation into…
Jyoti Mann
1 min read
SEC Employees Are Freakishly Good Stock Traders
In a statement to the Washington Post, the SEC said that this can all be explained. Before an emplo…
Linette Lopez
1 min read
The SEC is nearly doubling its crypto enforcement unit as the agency sees retail investors 'bearing the brunt of abuses' in the digital asset sector
The Wall Street regulator said it would add 20 positions to its Crypto Assets and Cyber Unit, bring…
Brian Evans
5 mins read
The SEC has charged private equity star Lynn Tilton with allegedly 'hiding poor performance' in 3 of her funds
The SEC's Enforcement Division alleges that Lynn Tilton and her Patriarch Partners firms have breac…
Julia La Roche
3 mins read
US regulator charges Ripple over its XRP asset, saying it's a $1.3 billion unregistered offering, not a cryptocurrency
Ripple's XRP asset isn't crypto, but a $1.3 billion unregistered stock sale, says a suit brought by…
Kevin Shalvey
1 min read
SEC charges California man with running a micro-cap stock fraud scheme that targeted retail investors
According to the SEC's complaint, Charlie Abujudeh fraudulently sold a number of microcap stocks to…
Emily Graffeo
2 mins read
'Crypto is dead in America' as US regulators target the sector for threatening the establishment, Chamath Palihapitiya says
"Now you had Gensler even blaming the banking crisis on crypto. So, the United States authorities h…
Filip De Mott
4 mins read
The remains of Yahoo just got hit with a $35 million fine because it didn't tell investors about Russian hacking
"We do not second-guess good faith exercises of judgment about cyber-incident disclosure. But we ha…
Kif Leswing
1 min read
The SEC has awarded nearly $200 million to individual whistleblowers in 2021, beating its annual record
The Securities and Exchange Commission has given out nearly $200 million in whistleblower awards to…
Will Daniel
2 mins read
Judge blasts Elon Musk's 'ironic' and 'meritless' bid to tweet about Tesla without a lawyer's approval
Even as Elon Musk is on the verge of owning Twitter, he'll still be legally required to run some tw…
Dominick Reuter
2 mins read
Bill Ackman's nightmare stock is getting stomped for the 2nd day in a row
"The SEC is conducting a formal investigation into possible securities law violations by Salix rela…
Linette Lopez
1 min read
The SEC is looking into Wall Street's SPAC craze and is seeking voluntary information from market participants, report says
The fact that Wall Street banks received requests from the SEC enforcement division indicates this …
Shalini Nagarajan
1 min read
The Cheesecake Factory slammed with $125,000 fine by the SEC over claims it lied to investors about how much money its restaurants were actually losing during the pandemic
The chain said told the public was "operating sustainably." Behind the scenes, it was forecasting a…
Graham Rapier
1 min read
Coinbase plunges 21% after the SEC sues the crypto exchange for breaking US securities laws
"Coinbase's alleged failures deprive investors of critical protections, including rulebooks that pr…
Matthew Fox
1 min read
Wall Street's newest millionaires are whistleblowers
The SEC announced a $110 million award to a Wall Street whistleblower on Wednesday, bringing the ag…