SEC

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

Source: en.wikipedia.org

Former SEC Enforcer Says Watchdogs, Crypto Firms Need Open Dialogue on Oversight
Former SEC Enforcer Says Watchdogs, Crypto Firms Need Open Dialogue on Oversight
August 30, 2021  |  Cryptocurrency

The common view of the cryptocurrency landscape is that it’s the Wild West — untamed, with speculative activity out of control, and with regulators bearing...

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SEC Official: Crypto Scams Now Favored Crime Tool
SEC Official: Crypto Scams Now Favored Crime Tool
August 25, 2021  |  Security & Fraud

The popularity of cryptocurrency has come with an unfortunate side effect: a corresponding rise in the number of scams involving crypto. Such crimes have become...

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US SEC Mulls New Rules For Customer Engagement Tactics
US SEC Mulls New Rules For Customer Engagement Tactics
August 24, 2021  |  Regulation

The U.S. Securities and Exchange Commission (SEC) is planning to release a wide-ranging consultation this week that could have repercussions for retail brokers, wealth managers...

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Sezzle Files Draft Paperwork For US IPO
Sezzle Files Draft Paperwork For US IPO
August 23, 2021  |  IPO

Payment platform Sezzle said it has confidentially submitted a draft registration statement for an initial public offering (IPO) to the U.S. Security and Exchange Commission,...

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Coffee QSR Dutch Bros Enlists JPMorgan, BoA, Barclays And Others As Managers For Proposed IPO
Coffee QSR Dutch Bros Enlists JPMorgan, BoA, Barclays And Others As Managers For Proposed IPO
August 22, 2021  |  IPO

Coffee shop Dutch Bros has announced it has filed for a registration statement for an initial public offering (IPO), a press release says. Dutch Bros...

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FinTech SPAC Activity Heats Up
FinTech SPAC Activity Heats Up
August 20, 2021  |  IPO

FinTech-related special purpose acquisition company (SPAC) activity got a bit of a rebound this past week — specifically, targeting banking services and products, where new...

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SEC Has Long Road Before DeFi Regulatory Framework Is Ready
SEC Has Long Road Before DeFi Regulatory Framework Is Ready
August 20, 2021  |  Regulation

The Securities and Exchange Commission (SEC) has its eye on the decentralized finance (DeFi) space but has yet to figure out how to develop a...

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Suit Vs Ackman SPAC May Raise Existential Questions For Blank Check Firms
Suit Vs Ackman SPAC May Raise Existential Questions For Blank Check Firms
August 17, 2021  |  Legal

Turns out blank check firms may have blank checks of their own to write — for counsel fees. As first reported by The New York...

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Cryptocurrency Exchange Poloniex Hit With SEC Penalty
Cryptocurrency Exchange Poloniex Hit With SEC Penalty
August 10, 2021  |  Cryptocurrency

Cryptocurrency exchange Poloniex is agreeing to pay the U.S. Securities and Exchange Commission (SEC) a $10.4 million settlement charge for operating an unregistered digital asset...

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