SEC Financial News

13.03 / 11:23

SEC Spot ETFs SEC Orders First Trust and SkyBridge to Declare ETF Application as Abandoned

The US Securities and Exchange Commission (SEC) has instructed First Trust Advisors and SkyBridge Capital, the hedge fund led by former White House Communications Director Anthony Scaramucci, to mark their Bitcoin exchange-traded fund (ETF) application as abandoned.

12.03 / 21:27

regulation SEC crypto regulation Sab 121 regulatory FDIC Vice Chairman Takes Aim at Controversial SAB 121, Pushes for Regulatory Clarity

Federal Deposit Insurance Corporation (FDIC) Vice Chairman Travis Hill criticized the United States Securities and Exchange Commission’s (SEC) controversial SAB 121 while saying that the FDIC’s regulatory approach has “significant downsides” in remarks given on March 11.

12.03 / 17:41

SEC security Trade Inside information 2020 Former Tallgrass board member, friends settle insider trading charges

(Reuters) — A former Tallgrass Energy board member and his friends will pay $2.2 million to settle insider trading charges related to a Blackstone-led $3.03 billion buyout offer for the oil pipeline operator in 2019, the U.S. SEC said on Tuesday.

12.03 / 10:27

ETF SEC security Trade Bitcoin spot bitcoin ETF Thailand SEC Thailand SEC Clears Path for Accredited Investors to Dive Into US Bitcoin ETFs

The Thailand securities regulator has greenlit asset management firms to introduce private funds tailored to invest in Spot Bitcoin ETFs. However, access to these funds will be restricted to institutional investors and individuals with ultra high net-worth.

12.03 / 10:27

SEC Coinbase Sues SEC for Crypto Rulemaking Refusal, Calls for Clarity

Coinbase has filed a lawsuit against the Securities and Exchange Commission (SEC), seeking a court directive for the regulatory authority to establish clear guidelines for the cryptocurrency sector.

11.03 / 12:27

Ethereum ETH ETF SEC Fox politician spot ETF Anti-Crypto Politicians Rally Against SEC’s Potential Approval of Spot Ethereum ETFs: Fox Reporter

Optimism surrounding the Securities and Exchange Commission’s (SEC) approval of Ethereum spot ETFs by May 23 is diminishing.

11.03 / 11:41

SEC WhatsApp Trade Sensex falls! These stocks fell 5% or more in Monday's session

On the BSE, JTL Infra(down 19.99 per cent), Filatex Fash(down 19.98 per cent), Sindhu Trade(down 19.97 per cent), VMV Holidays Ltd.(down 18.58 per cent) and BCL Industries(down 17.45 per cent) stood among the top losers in today's trade.

11.03 / 08:41

ETF SEC ETN Trade Bitcoin Updates place FCA to allow professional access to crypto ETNs but retail ban remains in place

According to this morning's (11 March) update, any exchange which opts to make these products available to professional investors must ensure sufficient controls are in place to allow orderly trading and proper protections, while the cETNs must meet all requirements of the UK listings regime. 'Watershed moment' for crypto as SEC approves 11 spot bitcoin ETFs However, while the FCA now believes exchanges and professional investors can assess whether cETNs meet their risk appetite thanks to «increased insight and data due to a longer period of trading history», the watchdog has maintain...

08.03 / 18:49

markets Digital ETF SEC coinbase Bitcoin Bitcoin Kisses $70K, Its Second All-Time High This Week, Then Promptly Falters

Bitcoin (BTC) hit another record Friday, briefly touching $70,000 on Coinbase before tumbling back down to under $67,000 and then rebounding to more than $68,000. It was the second all-time high and subsequent fumble this week for the largest cryptocurrency by market cap.

08.03 / 08:13

markets ETF SEC security Trade Bitcoin SEC Delays Decision on Options Trading on Spot Bitcoin ETFs

The United States Securities and Exchange Commission (SEC) has delayed the decision to approve options trading on spot Bitcoin exchange-traded funds (ETFs).

08.03 / 00:04

Provident SEC security Align information rights Relationships How to choose the best RIA custodian

In your profession, RIA custodians remain an invaluable partner. They assume the massive responsibility of maintaining the assets and holdings of your RIA firm. They can be federal or state-chartered banks, trust companies, broker-dealers, etc. But regardless of what type of entity they are, RIA custodians must be independent, and prevent RIAs from abusing or misusing client funds.

08.03 / 00:03

UPS SEC Fighting security reports Courts Commonwealth girding for loss of up to $24M in fight with SEC

As a result of its five-year legal skirmish with the Securities and Exchange Commission over alleged conflicts, Commonwealth Financial Network is preparing for a potential fine and loss of between $5 million and $24 million, according to a filing at the end of February with the SEC.

08.03 / 00:03

COST SEC Platform security Research Trade rights An RIA custodians list beyond the Big 3

It’s not an exaggeration to say that your choice of RIA custodian is one of the biggest and most impactful decisions you can make as an individual RIA or RIA firm. After all, your chosen RIA custodian reflects your brand and, most crucially, handles your client’s accounts and assets.

07.03 / 22:09

Ethereum ETH ETF SEC security Trade Bitcoin SEC Chairman Gensler Comments on Bitcoin and Ethereum; Avoids Ethereum Security Classification

On March 6, SEC Chairman Gary Gensler chose not to disclose whether the U.S. Securities and Exchange Commission classifies Ethereum as a security or a commodity, a decision eagerly anticipated by the market in light of its potential impact on the approval of Ethereum ETFs.

07.03 / 19:57

Binance SEC Binance.us Binance.US Revenue Plummets 75% Amid Fallout from SEC Lawsuit

Binance.US lost three-quarters of its revenue after the SEC sued it, according to a new legal filing of a deposition in December 2023 by Chief Operations Officer Christopher Blodgett.

07.03 / 13:01

Digital SEC Platform security Strategy Trade SEC Commissioners Criticize Agency’s Crypto Enforcement Strategy Following ShapeShift Settlement

The U.S. Securities and Exchange Commission (SEC) Commissioners, Hester Peirce and Mark Uyeda, have publicly criticized the agency’s unclear cryptocurrency enforcement policies following a recent settlement with ShapeShift.

07.03 / 01:39

UPS SEC security consequences reports Courts SEC climate rule leaves a lot up to companies

One thing that opponents and supporters of the SEC climate rule have agreed on is that there was compromise in the final version passed Wednesday. But for those against it, there clearly wasn’t enough. And champions of the rule were left with something that they say is barely a step forward, nowhere near sufficient to address the major issues presented by climate change that affect public companies’ finances.

06.03 / 19:25

markets SEC security Dreams wellness information reports What the SEC vote on climate disclosures means for investors

The Securities and Exchange Commission on Wednesday voted 3-2 to issue a final rule that requires certain U.S. companies to disclose their risks related to climate change and how they contribute to a warming planet via greenhouse gas emissions.

06.03 / 18:55

COST UPS SEC security Sustainability cover reports SEC passes climate rule that leaves no one happy

Many large public companies will eventually have to report climate-related risks under a final rule passed by the SEC today – but the requirements are significantly more limited than what the agency initially proposed and what climate groups wanted.

06.03 / 16:28

COST SEC security Trade information reports SEC takes up narrower climate disclosure rule after heavy pushback from companies, others

The U.S. Securities and Exchange Commission has weakened a proposed climate disclosure rule after strong pushback from companies and others

06.03 / 11:17

Provident SEC security performer cover information Investigations SEC custody rules: what you need to know on upcoming changes

Part of the SEC’s mandate is to regulate the activities of Registered Investment Advisers (RIAs). This involves ensuring that advisors adhere to the SEC Custody Rule under the Investment Advisers Act of 1940, specifically Rule 206(4)-2.

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