SEC Financial News

30.07 / 17:55

markets SEC security Research Trade reports Citron Research Founder Pleads Not Guilty to Securities Fraud Charges, Faces $5 Million Bond

Andrew Left , the founder of Citron Research, has pleaded not guilty to a series of federal securities fraud charges.

30.07 / 16:46

NFT SEC Lawsuit Artists Sue SEC to Clarify Regulatory Authority Over NFTs

In a significant legal development, two artists have filed a lawsuit against the United States Securities and Exchange Commission (SEC) seeking judicial clarification on whether the agency has authority over non-fungible tokens (NFTs).

30.07 / 15:18

SEC awards Celebrity information reports It’s Whistleblower Appreciation Day, celebrating the 246th anniversary of legislation

July 30, 1778, at the height of the American Revolution, the first US whistleblower law was passed. And 246 years later it’s the latest Whistleblower Appreciation Day.

29.07 / 19:25

SEC Action security Trade 2020 prevention Relationships SEC sanctions advisor for deceptive cherry-picking scheme

The Securities and Exchange Commission (SEC) has concluded its action against Richard Keith Robertson and IFP Advisors, LLC, sanctioning them for a deceptive cherry-picking scheme that unfairly allocated trades to the detriment of their clients.

29.07 / 19:01

UPS SEC Career wellness Caseys Relationships Advisors want to “freeze time” rather than retire

Casey Jorgensen at Dynasty Financial found the narrative of the impending “silver tsunami” of advisor retirements to be compelling enough that she asserted herself at the forefront of helping advisors transition into their next chapter.

29.07 / 06:18

Target SEC Grayscale Research Bitcoin recommendations SEC Charges Bitcoin Bear and Short Seller Andrew Left for $20M Fraud Scheme

The Securities and Exchange Commission (SEC) has charged prominent activist short seller Andrew Left and his firm, Citron Capital, with orchestrating a $20 million fraud scheme.

26.07 / 21:19

markets UPS Citi ETF SEC coinbase Bitcoin Cryptocurrency Price Movements Today: Bitcoin Rises Back Above $67,000

Bitcoin, which traded near $65,000 yesterday, was recently back above $67,000 as the Bitcoin 2024 conference continues in Nashville.

25.07 / 07:05

Provident Digital ETF SEC track Hashdex Spot ETFs Hashdex Files S1 With SEC for First Spot ETF Tracking Multiple Digital Assets

Asset manager Hashdex has filed an S-1 form with the U.S. Securities and Exchange Commission (SEC) for the first-ever spot Exchange-Traded Fund (ETF) tracking multiple digital assets.

24.07 / 02:10

markets Ethereum Digital ETF SEC Trade Bitcoin US spot ether ETFs make market debut in another win for crypto industry

The most actively traded ETFs were Grayscale's Ethereum Trust, with more than $450 million in turnover, the iShares Ethereum Trust, with about $245 million in trading, and Fidelity Advantage Ether ETF, with $137 million, Bitwise said.

23.07 / 13:50

SEC us sec ETFs Ether ETF US SEC nod to first spot Ether ETF to begin trading on Tuesday

exchange-traded funds (ETFs) will begin trading on Tuesday following final approval from the US Securities & Exchange Commission (SEC). At least two of the eight firms that applied, including BlackRock and VanEck, have been authorised to launch their products. These ETFs will be available on three major exchanges Cboe, Nasdaq, and NYSE all ready for the debut.

23.07 / 03:33

Ethereum ETF SEC VanEck Trade SEC ETF spot ETH ETF Spot Ethereum ETFs Approved for Trading Tuesday After SEC Greenlight

The SEC has approved several spot Ethereum exchange-traded funds (ETFs), allowing them to begin trading on Tuesday, July 23rd after weeks of registration statement revisions.

22.07 / 13:34

SEC Action security crypto regulation Amicus innovations prevention 7 U.S. States Challenge SEC’s Crypto Regulations in Iowa-Led Amicus Brief

A coalition of seven U.S. states has come together to challenge the Securities and Exchange Commission’s (SEC) regulation of cryptocurrency.

20.07 / 23:41

markets ETF SEC solana CME Trade SOL/USD Solana ETFs Could Be Approved Without CME Futures: SOL Price Prediction

Solana (SOL), currently ranked 10th in the cryptocurrency market by capitalization, has been gaining traction, trading robustly around $168.55, with an intra-day high reaching $171.64.

19.07 / 00:00

markets Ripple XRP SEC CEO security XRP/USD Ripple CEO on Bloomberg: SEC Settlement Close, XRP Not a Security – Price Prediction

The ongoing legal dispute between Ripple Labs and the U.S. Securities and Exchange Commission (SEC) began on December 22, 2020.

18.07 / 17:32

Robinhood Crypto Trading SEC $9 Million Robinhood “Refer-A-Friend” Settlement Deal Approved By Judge

Crypto trading platform and investment app Robinhood has formally settled a $9 million class-action lawsuit stemming from its “Refer-A-Friend” program, new court documents reveal.

18.07 / 13:43

MET SEC Action security awards information Whistleblower awarded more than $37M by SEC

A whistleblower has been awarded more than $37 million resulting from information they shared with the Securities and Exchange Commission about wrongdoing.

18.07 / 02:02

Ethereum Digital ETF SEC ethereum etf Features Interviews SEC Commissioner Peirce Suggests Reconsideration of Ethereum ETF Staking

Hester Peirce, the commissioner at the Securities and Exchange Commission (SEC), says that Ethereum exchange-traded fund (ETF) staking is open for reconsideration.

18.07 / 01:20

COST Provident SEC security wellness Schools State Street costs dip on insourcing works from its JV with HCLTech

State Street Corp, which earlier this year acquired HCLTech's stake in their joint venture, said its cost towards compensation and employee benefits fell 2% in the April-June quarter, mainly due to a decrease in contractor spending associated with JV consolidations in India and lower salaries. State Street that completed the transaction on April 1 made the observation in a filing with the US Securities and Exchange Commission. HCLTech, meanwhile, posted a fall in revenue at its financial services vertical and has warned about headwinds in the segment in the July-September quarter as well due to State Street insourcing the business operation services provided by the JV.

17.07 / 15:45

UPS SEC Strategy show Relationships Profiles Avantax extends New York presence with veteran advisor duo

Avantax, Cetera’s tax-centric subsidiary, has strengthened its advisor presence in Long Island as it welcomes a veteran advisor duo in New York.

16.07 / 22:19

markets UPS Booking SEC electronic reports testing Off-channel comms topple marketing rule as firms’ top compliance concern

Off-channel communications have topped investment advisors’ list of ongoing compliance concerns, dethroning the SEC’s Marketing Rule, according to new survey report.

16.07 / 09:50

Target BLOCK SEC coinbase security Crypto regulations Coinbase Narrows Subpoena to SEC Chair Gensler, Focuses on Communications During Tenure

Coinbase has slimmed down its subpoena to Gary Gensler, the Chair of the United States Securities and Exchange Commission (SEC).

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