SEC Financial News

05.07 / 03:39

business Adoption Binance SEC coinbase Fraud Mark Cuban, John Reed Stark clash over the cause of FTX’s collapse

Billionaire entrepreneur Mark Cuban has again locked horns with former securities chief John Reed Stark, this time over who was ultimately to blame for FTX’s collapse and the impact on creditors.

04.07 / 20:19

Ripple SEC DISH services Thailand Joins Singapore in Banning Crypto Lending Services

Amid increased global scrutiny on crypto exchanges, Thailand joins Singapore among Southeast Asian countries to ban retail lending and staking services.

04.07 / 11:17

ETF Extreme SEC Platform Action Gemini Bitcoin spot bitcoin Bitcoin ETF approval ETF approval Gemini Co-founder Marks Spot Bitcoin ETF Approval Struggle for A Decade

The 10-year anniversary of the day that Cameron Winklevoss and his brother Tyler filed for the top slot in the first Bitcoin Exchange-Traded Fund (ETF) was celebrated today by the co-founder of the cryptocurrency exchange Gemini. The businessman took the opportunity to lambast the Securities and Exchange Commission (SEC) of the United States for its ongoing refusal to approve such items. He claimed that this hesitation has proven to be harmful to American investors.

04.07 / 06:27

Adoption Binance regulation SEC coinbase Crypto firms won't leave US despite apparent hostility: Merkle Science CEO

Despite recent narratives suggesting differently, the United States won't be losing its allure as a crypto hub, according to the CEO of blockchain analytics firm Merkle Science.

04.07 / 00:29

Target Digital SEC Trump Trump-tied SPAC reaches agreement with SEC staff over merger

(Reuters) — A blank-check firm, which was set to merge with former U.S. President Donald Trump's media company and under regulatory investigation, has reached an agreement with the staff of the Securities and Exchange Commission, a filing showed on Monday.

03.07 / 22:27

Provident ETF NASDAQ SEC BlackRock CBOE Bitcoin Nasdaq Submits Revised Application for BlackRock's Bitcoin ETF to SEC

What NASDAQ has resubmitted an application to the SEC for the listing of a Bitcoin ETF by BlackrockWhy The SEC had raised concerns last week about the details of the original submissionWhat Next The SEC has not provided a date for its final decision

03.07 / 21:33

business ETF Investments SEC coinbase spot bitcoin BlackRock spot Bitcoin ETF filing names Coinbase as ‘surveillance-sharing’ partner

The most recent filing involving asset manager BlackRock’s attempt to launch a spot Bitcoin exchange-traded fund (ETF) included a “surveillance-sharing agreement” with cryptocurrency exchange Coinbase.

03.07 / 21:13

ETF SEC coinbase Bitcoin bitcoin etfs Coinbase to Partner with Fidelity and Other Bitcoin ETFs for Surveillance – Here's the Latest

Last week, a Wall Street Journal (WSJ) report unveiled the dissatisfaction of SEC insiders with the recent batch of spot bitcoin ETF applications from prominent financial institutions like Blackrock, Wisdomtree, Valkyrie, Fidelity, Ark Investment, and Invesco.

03.07 / 20:35

ETF NASDAQ SEC coinbase BlackRock CBOE Bitcoin Nasdaq refiles BlackRock's bitcoin ETF application with SEC

(Reuters) — Nasdaq refiled an application with the U.S. securities regulator to list an exchange-traded fund by BlackRock Inc (NYSE:BLK) that will reflect the price of bitcoin to add additional details, according to a filing made public on Monday.

03.07 / 20:11

CBDC regulation SEC Europe coinbase European Union EU finalizes Data Act with a kill switch for smart contracts: Law Decoded, June 27–July 3

European Union (EU) lawmakers have agreed to move ahead with the controversial European Data Act, which has previously drawn criticism from the crypto community. The act, aimed at encouraging greater use of data resources to train algorithms, would update the EU’s rules on smart contracts to include a kill switch option that would allow them to be safely terminated. Obviously, this contradicts the fundamental idea of trust in smart contracts.

03.07 / 20:05

COST UPS SEC CEO Software FINRA Finra posts net loss of $218.1 million for 2022

Finra posted a net loss of $218.1 million last year, primarily as a result of operating and investment losses, the regulator said.

03.07 / 15:33

Hack regulation SEC security network Crypto miners Exploit Today in Crypto: South Korea Passes the Virtual Asset User Protection Legislation, Poly Network Exploit Affected 57 Cryptos on 10 Blockchains, Crypto Miners Are Turning to AI

Get your daily, bite-sized digest of cryptoasset and blockchain-related news – investigating the stories flying under the radar of today’s crypto news.__________

03.07 / 14:37

Provident Waves ETF SEC coinbase BlackRock Bitcoin Fidelity leads flurry of bitcoin ETF refilings to answer SEC questions

In a flurry of Friday afternoon activity, Fidelity Investments led a handful of firms that filed a fresh set of applications for a spot bitcoin exchange-traded fund to add new details after the Securities and Exchange Commission indicated that the initial filings were insufficient.

03.07 / 14:37

SEC Southern Jail Finishing jail term for Ponzi, recidivist fraudster sold another: Feds

The U.S. Attorney’s Office last week charged a recidivist fraudster experienced in real estate scams with yet another Ponzi scheme. Wilson Baston of Brooklyn allegedly used an investment fund to claim he was deploying investor money to fund real estate transactions in New York.

03.07 / 14:37

Target SEC Strategy SEC use of in-house judges to be reviewed by Supreme Court

The Supreme Court will review a ruling that cast a constitutional cloud over the use of in-house judges to handle cases pressed by the Securities and Exchange Commission.

03.07 / 14:37

Provident ETF SEC coinbase BlackRock WSJ Bitcoin Blackrock Bitcoin Etf BlackRock Bitcoin SEC’s rejection of BlackRock bitcoin ETF unlikely to derail eventual approval

Though the Securities and Exchange Commission has reportedly rejected filings for a spot bitcoin exchange-traded fund from BlackRock, Fidelity and a handful of other asset managers, crypto-enthusiasts are optimistic that the product will soon achieve approval.

03.07 / 14:37

UPS ETF SEC Racing Invesco BlackRock Bitcoin Fidelity joins race for spot-bitcoin ETF with SEC filing

Fidelity Investments is the latest financial services heavyweight to throw its name into the race to offer the first U.S. exchange-traded fund investing directly in bitcoin.

03.07 / 14:37

Provident SEC Action Southern Workday Broker Broker-dealer employee hit by SEC legal action

The Securities and Exchange Commission has taken legal action by filing insider trading charges against Jordan Meadow, a registered representative employed by broker-dealer Spartan Capital Securities in New York, and Steven Teixeira, chief compliance officer at international payment processing company Lian Lian Pay (LL Pay).

03.07 / 14:37

COST SEC Action Strategy SEC report on RIA mandatory arbitration leaves many questions about potential investor harm

An SEC report showing more than half of investment advisors use mandatory arbitration clauses in client agreements still leaves much unknown about potential investor harm, lawyers and an advisor said Thursday.

03.07 / 12:38

Provident SEC Platform Sec Charges Robinhood to Pay $65 Million to Settle SEC Charges

Robinhood Financial agreed Thursday to pay $65 million to settle allegations from the Securities and Exchange Commission (SEC) that the investment platform misled customers and provided overpriced trades.

03.07 / 12:38

Waters Extreme SEC CEO Platform GameStop Reddit Regulators to Take Closer Look at Trading Practices

Markets were resilient last week in the face of extreme volatility and high volume after an army of retail investors on Reddit banned together to buy GameStop shares and force a short-squeeze among hedge funds, regulators said Thursday. However, regulators said they still want to take a closer look at trading practices to ensure markets are fair for all investors—with an emphasis on all.

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