SEC Financial News

28.09 / 11:45

Reuters SEC Action Citigroup WhatsApp reports settlement SEC agrees on Wall Street WhatsApp settlement, says Reuters

The Securities and Exchange Commission is finalizing settlements with about two dozen Wall Street firms to resolve probes into lapses in record keeping, Reuters reported.

28.09 / 11:11

UPS Man SEC Nov President social Factbox-What major cases are coming before the US Supreme Court?

(Reuters) — The U.S. Supreme Court on Monday opens a new nine-month term loaded with important cases on issues including gun rights, the power of federal agencies, Purdue Pharma's bankruptcy settlement, the legality of Republican-drawn electoral districts and even one involving the size of Donald Trump's hands.

28.09 / 08:09

Ethereum ETF SEC week analyst US SEC Would Likely Let Ethereum Futures ETFs Go Live Next Week: Bloomberg Intelligence Analyst

Ethereum (ETH) futures exchange-traded funds (ETFs) is likely to rollout next week, ahead of the potential US Government shutdown, Bloomberg analysts note.

28.09 / 08:01

Provident BTC Digital ETF SEC Bitcoin Bitcoin Price Prediction: BTC Rises by 0.75% – Where is BTC Headed Next?

In a financial landscape punctuated by volatility, Bitcoin has once again made headlines, registering a 0.75% surge and settling at the $26,450 mark. What's driving Bitcoin's recent movement, and what's next? This analysis provides a forecast for its near-term future.

28.09 / 05:33

business regulation SEC coinbase us government Congress Winter Olympics 5 lowlights of Gary Gensler's evasive testimony before Congress

Blamed for “kneecapping” the U.S. capital markets and slammed for dodging questions around Bitcoin and Pokemon cards, Gary Gensler appears to have had one hell of a grilling from Congress this week.

28.09 / 03:07

Ethereum ETF SEC Futures week analyst Ethereum futures ETFs could start trading next week — Bloomberg analyst

Ethereum futures exchange-traded funds (ETFs) could start trading for the first time in the United States as early as next week, according to Bloomberg analysts.

28.09 / 01:33

Law regulation SEC LUNC Terra Extradition Do Kwon says SEC's extradition request is impossible

Lawyers for Terraform Labs co-founder Do Kwon have requested a federal court to reject the United States Securities and Exchange Commission’s (SEC’s) request to question him in the U.S. over the collapse of the Terra Money ecosystem.

27.09 / 22:42

regulation SEC Congress hearing guidance SEC's Gensler taken to task over crypto custody guidance again in House hearing

Gary Gensler, chairman of the United States Securities and Exchange Commission, told the House Financial Services Committee hearing on Sept. 27 that he enjoys testifying before the committee. He had well over four hours of that pleasure that day, much of which was devoted to criticism of his agency’s policies and actions.

27.09 / 22:41

Ethereum ETF regulation Investments SEC 21Shares spot Ether ETF Ether ETF SEC pushes deadlines for ARK 21Shares, VanEck spot Ether ETF applications

The United States Securities and Exchange Commission (SEC) has delayed reaching a decision on whether to approve or disapprove of spot Ether (ETH) exchange-traded fund applications from ARK 21Shares and VanEck.

27.09 / 22:29

Provident SEC CAT Bill information reports House grills Gensler over shutdown, CAT and climate rule

SEC Chair Gary Gensler faced rounds of grilling and scolding at a House Financial Services Committee hearing Wednesday, with Republicans focused on the agency’s efforts on climate-related disclosures, crypto regulation, artificial intelligence, the Consolidated Audit Trail and overall pace of rulemaking.

27.09 / 20:59

Waters SEC CEO Chase President Inside Account fees, bonuses likely topics at Thursday’s Cetera, Avantax confab

Cetera Financial Holdings senior management is planning a webinar Thursday afternoon with Avantax Inc.’s financial advisors to discuss questions raised by some of the 3,100 advisors in the wake of Cetera’s announcement earlier this month that it’s buying the tax-specialized broker-dealer for $1.2 billion.

27.09 / 20:33

business regulation SEC NOT SEC’s Gensler is loyal to banks, not an impartial regulator — Rep. Tom Emmer

United States Representative Tom Emmer spoke out against Securities and Exchange Commission Chair Gary Gensler during a hearing at the House Financial Services Committee on Sept. 27. According to the lawmaker, Gensler has been loyal to Wall Street “at the clear expense of innovation, competition, and everyday Americans.”

27.09 / 18:07

Provident SEC Google Coronavirus pandemic President 2020 FINRA Finra asks SEC to extend remote inspections program

The Financial Industry Regulatory Authority plans to extend its remote inspections program, according to a filing with the Securities and Exchange Commission.

27.09 / 16:43

BLOCK SEC Action President performer As shutdown looms, companies should go public 'before Friday'-US SEC chief

(Reuters) -The top U.S. markets regulator on Wednesday told Washington lawmakers that a looming shutdown of the federal government would reduce his agency's staffing to «skeletal» levels, blocking it from approving companies' Wall Street debuts and hindering its ability to respond to any market turmoil.

27.09 / 11:39

SEC Financial RIA firm to pay $18M+ after SEC financial conflicts charges

An RIA firm has agreed to pay at least $18 million after being charged by the SEC for failing to disclose multiple financial conflicts of interest.

27.09 / 09:15

Adoption regulation SEC Gensler testimony — Crypto enforcement actions driven by “wide-ranging noncompliance”

The United States House Financial Services Committee will hear how the Securities and Exchange Commission is changing its oversight and rules to keep pace with technological advancements, including cryptocurrencies and artificial intelligence.

27.09 / 07:03

UPS BTC Digital ETF SEC BlackRock Bitcoin US lawmakers SEC ETF Bitcoin Price Prediction: BTC Down 3% Amid SEC ETF Delays, US Lawmakers' Advocacy, & Rate Hike Impacts

Bitcoin, the world's most valuable cryptocurrency, was trading below $27,000 early on Wednesday, showing a nearly 0.50% decrease in price to $26,220.

26.09 / 22:55

SEC CEO US SEC settles fraud charges against Hyzon Motors over misleading investors

By Kanishka Singh

26.09 / 21:59

UPS SEC President performer social song dance Advisors give here-we-go-again shrug to potential government shutdown

Investment advisors are shrugging off a potential government shutdown this weekend.

26.09 / 21:07

ETF regulation Investments SEC Bitcoin 21Shares SEC pushes deadline for ARK 21Shares spot Bitcoin ETF to January

The United States Securities and Exchange Commission (SEC) is taking the maximum time allowed for the regulator to reach a decision on a spot Bitcoin (BTC) exchange-traded fund, or ETF, offering from ARK 21Shares.

26.09 / 20:37

Government ETF regulation Investments SEC bitcoin etfs US lawmakers spot bitcoin ETFs US lawmakers call on SEC chair to approve spot Bitcoin ETFs 'immediately'

Four members of the United States Congress are requesting Securities and Exchange Commission (SEC) chair Gary Gensler “immediately” approve the listing of spot Bitcoin (BTC) exchange-traded funds, or ETFs.

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