Banking
Digital Currency Group Settles SEC Charges with $38 Million Payment
Firm Agrees to Pay Fine Over Misleading Investors About Genesis Collapse
Highlights:$38 Million Fine: Digital Currency Group agrees to pay $38 million to settle...
Banking
US asset managers apply to SEC for bitcoin ETFs
Several major asset managers, including BlackRock, WisdomTree, and Invesco, have applied to the U.S. Securities and Exchange Commission (SEC) for permission to launch a...
Banking
SEC: Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
SEC: Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities MarketsSEC proposed requirements for broker-dealers, clearing agencies, major security-based swap participants
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Banking
SEC: Updates Electronic Filing Requirements
SEC: Updates Electronic Filing RequirementsSEC announced that it adopted amendments to require certain forms that currently are permitted to be filed
The amendments...
Banking
SEC: Charges Five Russians in $80 Million Hacking and Trading Scheme
SEC: Charges Five Russians in $80 Million Hacking and Trading SchemeSEC announced fraud charges against five Russian nationals for engaging in a multi-year...
Banking
SEC: Appoints Haoxiang Zhu Director of Division of Trading and Markets
SEC: Appoints Haoxiang Zhu Director of Division of Trading and MarketsSEC announced the appointment of Haoxiang Zhu, a professor of finance at the...
Banking
SEC: Proposes Updates to Electronic Recordkeeping Requirements
SEC: Proposes Updates to Electronic Recordkeeping RequirementsSEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation
Published proposed...
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