SEC

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

Source: en.wikipedia.org

Robinhood to Settle SEC Charges of ‘Broad Array’ of Violations

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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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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SEC Fines Deutsche Bank Securities $4 Million for ‘Stale’ Suspicious Activity Reports
SEC Fines Deutsche Bank Securities $4 Million for ‘Stale’ Suspicious Activity Reports
December 20, 2024  |  Bank Regulation

Deutsche Bank Securities agreed to pay a $4 million civil penalty to settle Securities and Exchange Commission (SEC) charges that it failed to file certain Suspicious...

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Report: Chime to Go Public in 2025 After Submitting Confidential Filing
Report: Chime to Go Public in 2025 After Submitting Confidential Filing
December 19, 2024  |  IPO

Chime Financial reportedly submitted a confidential filing for an initial public offering (IPO). Get the Full Story Complete the form to unlock this article and enjoy...

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November Issuer Data Extends Trend of Rising Credit Card Charge-Offs
November Issuer Data Extends Trend of Rising Credit Card Charge-Offs
December 17, 2024  |  Consumer Finance

Securities and Exchange Commission (SEC) filings from several card issuers offer up a mixed portrait of the U.S. consumer in November. Get the Full Story...

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