SEC

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

Source: en.wikipedia.org

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. Get the...

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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. Get the Full Story Complete the form...

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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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SEC Brings Charges In First Case Using DeFi Tech; Alleged $30M Scheme
SEC Brings Charges In First Case Using DeFi Tech; Alleged $30M Scheme
August 06, 2021  |  Security & Fraud

The Securities and Exchange Commission (SEC) charged a Florida duo operating a Cayman Islands company with more than $30 million in unregistered securities sales and...

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Banking, Cloud Firms Lead IPO And SPAC Announcements
Banking, Cloud Firms Lead IPO And SPAC Announcements
August 05, 2021  |  IPO

Listing announcements this past week — initial public offerings (IPOs) and special purpose acquisition companies (SPACs) among them — were dominated by banking and high-tech...

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Gensler Signals More Regulation Ahead For Cryptos, Stablecoins And Platforms
Gensler Signals More Regulation Ahead For Cryptos, Stablecoins And Platforms
August 05, 2021  |  Cryptocurrency

In life there are no certainties — except uncertainty. Except, maybe, when it comes to cryptocurrency, where the certainty is that more regulation looms. Get the...

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