SEC enforcement blitz targets 7 financial firms as Biden administration winds down
The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.
SEC settles charges against US hedge fund over investment model vulnerabilities
The U.S. Securities and Exchange Commission on Thursday settled charges against hedge fund Two Sigma over failure to address ...
US SEC sues Elon Musk over late disclosure of Twitter stake
Elon Musk was sued on Tuesday by the U.S. Securities and Exchange Commission, which accused the world's richest person of ...
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Ripple SEC Lawsuit: US SEC Challenges ‘XRP Is Not A Security’ Ruling By Judge Torres
US SEC files appeal against district court ruling on Ripple's XRP sales, arguing all transactions are securities under Howey ...
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Breaking: Digital Currency Group to Pay $38M in US SEC Settlement
The US SEC said Grayscale's parent company, Digital Currency Group (DCG) for misleading investors for not disclosing its risks in 3AC ...
Vanguard fined more than $100 million by SEC over violations involving target date retirement funds
The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target ...
More Wall Street firms settle US SEC charges over record-keeping
Wall Street firms including Blackstone, Apollo Capital Management and Carlyle have agreed to pay more than $63 million for ...
Fitness beverage company Celsius to pay $3 million fine to settle US SEC accounting case
Celsius Holdings, the fitness beverage company, will pay a $3 million civil fine to resolve charges it accounted improperly ...
SEC charges La Jolla’s LPL Financial with anti-money laundering violations
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
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US SEC Sues Elon Musk Over Late Disclosure of Twitter Stake
US SEC Sues Elon Musk Over Late Disclosure of Twitter Stake By Jonathan Stempel (Reuters) -Elon Musk was sued on Tuesday by the U.S. Securities and Exchange Commission, which accused the world's ...