SEC

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

Source: en.wikipedia.org

TD Bank Pays $20 Million to Resolve Spoofing Case

TD Bank Pays $20 Million to Resolve Spoofing Case
TD Bank Pays $20 Million to Resolve Spoofing Case
September 30, 2024  |  Legal & Regulation

TD Bank is reportedly settling a case involving illegal “spoof” orders by a former trader. Get the Full Story Complete the form to unlock this...

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SolarWinds CISO: World’s Cyber Regulations Still ‘In Flux’
SolarWinds CISO: World’s Cyber Regulations Still ‘In Flux’
September 29, 2024  |  Cybersecurity

The information security chief for SolarWinds says the world needs tough cybersecurity laws. Get the Full Story Complete the form to unlock this article and...

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Visa Adds $1.5 Billion to Litigation Escrow Account
Visa Adds $1.5 Billion to Litigation Escrow Account
September 27, 2024  |  VISA

Visa disclosed Thursday (Sept. 26) that it authorized the deposit of $1.5 billion into the litigation escrow account previously established under its U.S. retrospective responsibility...

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Stablecoins, Tokenization and Caroline Ellison Headline This Week in Web3
Stablecoins, Tokenization and Caroline Ellison Headline This Week in Web3
September 25, 2024  |  Blockchain

Cryptocurrency’s wild ride isn’t over yet. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS...

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SEC Charges Skael Founder With Inflating Automation Startup’s Revenue
SEC Charges Skael Founder With Inflating Automation Startup’s Revenue
September 25, 2024  |  Cybersecurity

The co-founder of business automation startup Skael has been accused of illegally inflating its revenues. Get the Full Story Complete the form to unlock this...

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Lawmakers Probe Whether SEC Guidance on Digital Assets ‘Undermined’ Banking Regulators
Lawmakers Probe Whether SEC Guidance on Digital Assets ‘Undermined’ Banking Regulators
September 24, 2024  |  Legal & Regulation

Four lawmakers sent letters to the heads of financial regulators, asking for information about the development of the Securities and Exchange Commission’s (SEC) Staff Accounting...

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Coinbase Tells Appeals Court It Seeks Regulatory Clarity From SEC
Coinbase Tells Appeals Court It Seeks Regulatory Clarity From SEC
September 23, 2024  |  Cryptocurrency

Coinbase Global addressed a federal appeals court Monday (Sept. 23), aiming to force the Securities and Exchange Commission (SEC) to create new rules for digital...

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Macquarie to Pay $79.8 Million to Settle SEC Fraud Charges
Macquarie to Pay $79.8 Million to Settle SEC Fraud Charges
September 19, 2024  |  Legal & Regulation

The Securities and Exchange Commission (SEC) said Macquarie Investment Management Business Trust (MIMBT) will pay $79.8 million to settle fraud charges. Get the Full Story...

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