SEC Financial News
12.10 / 11:23
Progressive
SEC
JPMorgan
Remark
Chase
cover
SEC commissioner sounds alarm on syndicated loans risk
A Democrat on the US Securities and Exchange Commission is warning that syndicated loans sold widely to investors are stoking risks to the broader financial system.
12.10 / 09:15
business
SEC
Ark
Bitcoin
ARK’s amended spot Bitcoin ETF filing is a ‘good sign’ of future approval
A recent amendment to ARK Invest and 21Shares’ joint spot Bitcoin (BTC) exchange-traded fund (ETF) application could be seen as a “good sign” of progress and impending approvals.
12.10 / 09:15
regulation
SEC
DAO
BarnBridge
BarnBridge DAO votes to comply with SEC order
The decentralized autonomous organization (DAO) behind the decentralized protocol BarnBridge has conducted its voting on how to react to the United States Securities Exchange Commission’s (SEC) potential demands.
11.10 / 20:37
11.10 / 17:53
UPS
Provident
Digital
ETF
SEC
MicroStrategy
Bitcoin
Mark to market accounting meets crypto: New FASB changes
In early September 2023, the US Financial Accounting Standards Board (FASB) finally approved the commonly accepted accounting practice of mark to market accounting to apply to corporations and businesses holding crypto digital assets.
11.10 / 10:29
UPS
SEC
HDFC Sec has sell/reduce calls on these 5 stocks with up to 47% downside
In a recent note, brokerage house HDFC Securities ... moreIn a recent note, brokerage house HDFC Securities noted that it is cautious on equity markets on high valuations.
11.10 / 07:09
business
regulation
SEC
coinbase
Securities regulators oppose special treatment of crypto in Coinbase case
Digital assets should not be seen as “somehow special,” nor should action against Coinbase be seen as “novel or extraordinary,” argues an association of North American securities regulators.
11.10 / 03:23
10.10 / 22:29
SEC
Action
Patrick
President
Actor
show
prevention
FINRA
Broker
Judge lets Finra proceed with enforcement action against broker
A federal judge last week denied a broker’s effort to stop Finra from disciplining him.
10.10 / 18:41
COST
FIVE
SEC
Manufacturing
track
recommendations
FINRA
Finra tags advisor for sales of GPB alternatives
The Financial Industry Regulatory Authority Inc. has penalized plenty of broker-dealers over sales of private placements manufactured by GPB Private Holdings, typically for selling the high-risk securities in 2018, when GPB had failed to file required audited financial statements for two of its biggest limited partnerships with the Securities and Exchange Commission.
10.10 / 18:29
Twitter
Reuters
SEC
Platform
social
information
reports
US regulator probes Twitter security lapse before Musk took over - Bloomberg News
(Reuters) — The U.S. securities regulator is investigating how Twitter managed a 2018 security lapse that exposed personal user information before billionaire Elon Musk bought the social media platform last year, Bloomberg News reported.
10.10 / 18:03
FIVE
SEC
reports
US SEC shortens stock disclosure deadline to 5 days
(Reuters) — Wall Street's top regulator said on Tuesday it has tightened the timeline for investors to disclose 5% ownership stakes in companies they intend to control, shortening the allowed window from 10 calendar days to five business days.
10.10 / 16:05
Art
Adoption
SEC
Scams
Artists
us government
Meet the guerilla artist who staged a crypto ‘rug pull’ in front of the SEC
Street vendors abound in downtown Manhattan’s Financial District. But weeks ago, on Sept. 14, an especially unconventional seller set up shop in front of the United States Securities and Exchange Commission (SEC), transforming a patch of Maiden Lane into a colorful quilt of doormats, each spray painted with the straightforward instruction to “pull.”
10.10 / 08:27
10.10 / 08:27
09.10 / 21:41
regulation
SEC
South America
2024
Brazilian securities regulator plans sandbox for tokenization in 2024
The Comissão de Valores Mobiliários (CVM) of Brazil is planning to start a second regulatory sandbox program in 2024.
09.10 / 21:41
Ripple
regulation
SEC
FTX
Court
Judge sides with Ripple again, denies SEC appeal: Law Decoded
On Oct. 3, United States District Court Judge Analisa Torres rejected the U.S. Securities and Exchange Commission’s (SEC’s) motion to appeal its loss against Ripple Labs, the company behind the XRP (XRP) cryptocurrency. Torres denied the SEC’s motion, claiming the regulator failed to meet the burden to show that there were controlling questions of law or substantial grounds for differences of opinion on the matter.
09.10 / 21:11
Provident
Target
SEC
CEO
Morningstar
President
information
Financial
Financial industry group warns SEC AI proposal would hurt retirement savers
A financial industry group Monday called on the SEC to withdraw a proposal targeting potential conflicts of interest related to the use of artificial intelligence by financial professionals because the regulation could harm retirement savers.
09.10 / 20:19
business
Ripple
XRP
SEC
sec lawsuit
Financial
Ripple's chief financial officer steps down amid SEC lawsuit
Kristina Campbell, the chief financial officer of Ripple, has left the crypto payments platform for a comparable position at the virtual healthcare provider Maven Clinic.
09.10 / 19:45
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