SEC Financial News

06.03 / 10:25

SEC coinbase SEC Accepts ShapeShift’s $275,000 Settlement Over Crypto Securities Charges

The U.S. Securities and Exchange Commission (SEC) has finalized its actions against cryptocurrency platform ShapeShift by accepting a $275,000 settlement.

06.03 / 06:47

Binance SEC Platform security Trade Binance.us information Binance.US Axed Two-Thirds of Staff, Revenue Tanked 75% after SEC Lawsuit: COO

Binance’s US arm imploded following SEC allegations regarding violations of securities law, according to the subsidiary’s COO Christopher Blodgett.

05.03 / 16:51

markets BTC ETF SEC BlackRock Research Bitcoin Bitcoin Storms Past $69K To All-Time High

The price of bitcoin (BTC) surged again Tuesday to cross $69,000, an all-time high. The largest cryptocurrency by market cap has now risen more than 61% year-to-date and has tripled in the past year alone.

05.03 / 07:01

Ethereum ETH ETF SEC Trade Bitcoin exchange traded funds ETH ETFs “Inevitable” in US, European Market Way Ahead With ETH ETPs

Several applications have been submitted for Ethereum exchange-traded funds with the U.S. Securities Exchange Commission (SEC) and the decision for approving or denying the products has been pushed back which is in line with analyst expectations.

04.03 / 11:51

SEC coinbase US Court Rules Crypto Trades on Secondary Markets as Securities Transactions

In a landmark decision, a U.S. court has determined that the trading of certain cryptocurrency assets on secondary markets, including platforms such as Coinbase, are securities transactions.

02.03 / 09:19

ETH SEC Action security Remark crypto regulation Bitcoin SEC’s Hester Peirce Criticizes Agency’s Crypto Approach as “Strange”

US Securities and Exchange Commissioner Hester Peirce has reiterated her criticisms of her own agency’s approach to cryptocurrencies in a recent appearance at ETH Denver.

02.03 / 00:05

COST Digital SEC security Bill electronic information Senators introduce bill promoting e-delivery of investment documents

It may only be a bill about digitally delivering financial information, but at least it’s a step in a bipartisan direction. Sens. Thom Tillis, R-N.C., and John Hickenlooper, D-Colo., introduced the measure, Improving Disclosure for Investors Act of 2024, in the Senate Thursday. The bipartisan legislation, which has already been introduced in the House, requires the Securities and Exchange Commission to propose new rules allowing for the electronic delivery of regulatory documents to investors.

02.03 / 00:05

UPS FIVE Williams SEC Updates Robertson Stephens welcomes veteran $180M team

Robertson Stephens, a San Francisco-based RIA, crossed a significant milestone as it welcomes another practice. The firm has officially surpassed the $5 billion AUM mark with the addition of the Thrush Group, a practice in Westport, Connecticut, that caters to private business owners, corporate executives, and finance professionals.

01.03 / 20:35

markets UPS Ethereum SEC EOS community diving Ethereum Hits $3,200: Caution as Futures Heat Up; Eos & Emerging Altcoin Gain Investors Approval

Ethereum (ETH) is causing quite a stir lately after the recent SEC decision on Bitcoin ETF. It blasted past $3,200, grabbing the spotlight and drawing investors from every corner of the globe. But while the hype is real, it’s time to put on your thinking caps as futures markets start heating up. Take a closer peek at what’s going on in the market and keep an eye out for potential risks.

01.03 / 20:13

Digital SEC Platform Strategy Mobile innovations Department LPL’s chief product officer to depart firm

Kabir Sethi, LPL Financial’s product chief, is leaving the firm, according to a public filing. Sethi’s departure is effective March 31, according to a Form 8-K the firm filed with the SEC on Monday.

01.03 / 20:13

UPS Booking SEC Platform electronic reports Ameriprise bracing for $50 million penalty over messaging

Ameriprise Financial Services is the latest major broker-dealer to reveal that it’s expecting a significant penalty from regulators as a result of unapproved electronic communications by financial advisors and employees, disclosing last month that it’s preparing to book up to a $50 million expense to resolve the issue with the Securities and Exchange Commission.

01.03 / 18:40

SEC Congress crypto regulation Sab 121 Financial House Financial Services Committee Votes In Favor of Resolution to Overturn SEC’s SAB 121

The House Financial Services Committee voted on Thursday to proceed with a resolution that would “reverse” the United States Securities and Exchange Commission’s (SEC) controversial digital asset accounting bulletin, SAB 121.

01.03 / 08:55

SEC Action coinbase security Kraken Amicus prevention State Attorneys General Question SEC’s Authority in Kraken Lawsuit

A group of state attorneys general has challenged the U.S. Securities and Exchange Commission’s (SEC) authority in the ongoing lawsuit against the cryptocurrency exchange Kraken.

01.03 / 07:11

SEC Grayscale Bitcoin Options Grayscale Urges SEC for Spot Bitcoin ETF Options Approval

Grayscale is calling on the US Securities and Exchange Commission to approve options on its spot Bitcoin exchange-traded fund, aiming to expand access to a broader range of investors.

01.03 / 07:11

FIVE SEC Remark crypto regulation Bitcoin gatherings Courts SEC Commissioner Says Agency is in “Enforcement-Only Mode” When Regulating Crypto

SEC Commissioner Hester Peirce has said that the regulatory agency is currently operating in an “enforcement-only mode” when it comes to the regulation of cryptocurrencies.

29.02 / 23:43

SEC Kraken Chamber of Digital Commerce Chamber of Digital Commerce Files Brief on Behalf of Kraken in Controversial SEC Case

In a new development for the emerging U.S. cryptocurrency regulation landscape, the Chamber of Digital Commerce has voiced its backing for Kraken amid the exchange’s ongoing legal battle with the SEC.

29.02 / 14:55

SEC security Gemini Department Customers Gemini agrees to return $1.1bn to Earn customers

Gemini - founded by Tyler and Cameron Winklevoss - made the commitment in a deal with the New York State Department of Financial Services that also sees the firm pay a $37 million fine. The agreement relates to a failed partnership between Gemini and DCG unit Genesis on the former's Earn interest-bearing product.

29.02 / 13:43

Williams SEC Career security Department Courts Investigations SEC announces new director for investment division

The part of the Securities and Exchange Commission that oversees investment management will have a new director next week as incumbent William Birdthistle departs the agency.

29.02 / 05:01

SEC CEO security WSJ reports Investigations International SEC investigating whether OpenAI misled investors in Altman saga- WSJ

Investing.com-- The Securities and Exchange Commission (SEC) is investigating whether OpenAI investors were misled in the wake of the AI firm’s recent leadership overhaul, the Wall Street Journal reported on Thursday citing people familiar with the matter.

29.02 / 00:11

Reuters SEC security economy information reports Courts US SEC to vote on long-awaited climate disclosure rule, notice says

By Douglas Gillison

28.02 / 10:21

UPS FIVE SEC Trade information travelers Husband makes Rs 14 crore profit by stock trade. But wife files for divorce. Here's why

Without his spouse's knowledge, Loudon capitalized on this non-public data to buy 46,450 shares before the acquisition was publicly disclosed. Subsequently, following the announcement, the stock price of the travel center operator surged, allowing Loudon to sell his shares at a considerable profit. After his wife to know that he had

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