SEC

The U.S. Securities and Exchange Commission is an independent agency of the United States federal government.

Source: en.wikipedia.org

GrubMarket Settles SEC Charges That It Gave Investors Unreliable Financial Information
GrubMarket Settles SEC Charges That It Gave Investors Unreliable Financial Information
January 17, 2025  |  Regulation

GrubMarket, a private eCommerce food distributor, settled Securities and Exchange Commission charges that it violated antifraud provisions of the federal securities laws by providing investors...

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Wells Fargo and Merrill Lynch Settle SEC Charges Involving Cash Sweeps
Wells Fargo and Merrill Lynch Settle SEC Charges Involving Cash Sweeps
January 17, 2025  |  Bank Regulation

Two Wells Fargo advisory firms and Merrill Lynch have agreed to settle Securities and Exchange Commission (SEC) charges that they violated Advisers Act rules relating to their cash...

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FinTech IPO Index Gains 3% as Katapult Shares Vault Higher on Q4 Originations
FinTech IPO Index Gains 3% as Katapult Shares Vault Higher on Q4 Originations
January 17, 2025  |  Fintech Investments

Earnings season is officially here as the big banks weighed in this week. Get the Full Story Complete the form to unlock this article and...

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Robinhood to Settle SEC Charges of ‘Broad Array’ of Violations
Robinhood to Settle SEC Charges of ‘Broad Array’ of Violations
January 13, 2025  |  Regulation

The Securities and Exchange Commission (SEC) said Monday (Jan. 13) that two Robinhood broker-dealers have agreed to pay $45 million in combined civil penalties to...

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Gensler Says Crypto Oversight Still Essential
Gensler Says Crypto Oversight Still Essential
January 08, 2025  |  Cryptocurrency

Gary Gensler will step down as chair of the U.S. Securities and Exchange Commission (SEC) Jan. 20 with the inauguration of President-elect Donald Trump. Get...

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This Week in Web3: Blockchain for Business and Crypto Markets Regulation
This Week in Web3: Blockchain for Business and Crypto Markets Regulation
January 08, 2025  |  Blockchain

The cryptocurrency industry has seen many milestones since bitcoin’s launch in 2009, but 2025 could be a watershed year. Get the Full Story Complete the...

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The Three Most Important US Crypto Policies to Watch This Year
The Three Most Important US Crypto Policies to Watch This Year
January 07, 2025  |  Cryptocurrency

The 119th U.S. Congressional session has begun, and the digital asset sector is hoping there will soon be favorable and clear regulatory guardrails for cryptocurrency...

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Apple’s CFO Transition Underscores Evolving Role of Back-Office Leadership
Apple’s CFO Transition Underscores Evolving Role of Back-Office Leadership
January 06, 2025  |  CFO

It is the first Monday of 2025, and at least one thing is already different: Apple’s finance function. The world’s largest company, with a $3.27...

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Crypto-Focused ETFs ‘The Hot Thing’ in 2025
Crypto-Focused ETFs ‘The Hot Thing’ in 2025
January 03, 2025  |  Cryptocurrency

More than a dozen new cryptocurrency-focused exchange-traded funds (ETFs) reportedly could be launched in 2025, if they’re approved by the Securities and Exchange Commission. Get...

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