SEC Financial News

26.07 / 19:31

regulation SEC SEC passes new ‘conflict of interest’ rules governing how brokers can use AI

The United States Securities and Exchange Commission (SEC) approved a set of sweeping changes to the rules governing the use of “optimization functions” by brokers in a committee vote on July 26.

26.07 / 19:11

COST SEC Action ROBO cover SEC proposal would require brokers, advisors to remediate conflicts related to use of AI

Brokers and investment advisors would have to remediate conflicts of interest related to interactions with investors conducted through artificial intelligence, predictive analytics and similar technology under a proposal released Wednesday by the SEC.

26.07 / 18:01

Binance Digital ETF NASDAQ SEC Bitcoin Bitcoin's Decline Threatens Crypto's 2023 Lead Over Stocks

Despite Bitcoin (BTC)’s promising 76% rally year to date (YTD), some relative stagnancy and a modest decline this month has the digital currency market losing its momentum over the stocks.

26.07 / 17:01

COST SEC Platform Cyber US SEC adopts new cyber rule, unveils brokerage AI proposal

By Douglas Gillison

26.07 / 16:29

COST SEC Platform Strategy GameStop fun Apps Like Robinhood Make Trading Fun, But SEC Fears It’s Costing Investors

WASHINGTON—Federal regulators want to impose new guardrails on the way retail investment firms such as Robinhood Markets use advanced analytics to encourage customers to trade, the latest in a series of policy efforts prompted by the 2021 meme-stock craze. The Securities and Exchange Commission plans to propose a rule Wednesday that would hold algorithms that predict, guide or forecast investors’ behavior, in certain cases, to a similar standard as investment advice. It would require brokers and advisers who deploy such tools to “neutralize or eliminate" conflicts of interest they create.

26.07 / 15:55

Blockchain Provident Digital Waters SEC CEO Patrick committee Crypto bills to face congressional committee vote

congressional committee is set to vote this week on several bills that would develop a regulatory framework for cryptocurrencies, a milestone for Capitol Hill in its efforts to codify federal oversight for the digital asset industry. The crypto industry has been in the regulatory crosshairs since investors were burned last year by sudden collapses of Celsius Network, Voyager Digital, FTX and other companies.

26.07 / 15:05

Provident NASDAQ SEC NYSE Fighting Actor The SEC wants corporate America to tell investors more about cybersecurity breaches and what's being done to fight them

The Securities and Exchange Commission wants corporate America to tell investors more about cybersecurity breaches and what's being done to fight them. Much more.

26.07 / 14:35

business Law regulation SEC Cybersecurity security SEC files charges against Quantstamp for $28M initial coin offering

Blockchain security firm Quantamp is set to return $28 million raised in a 2017 initial coin offering following charges brought by the United States Securities and Exchange Commission (SEC).

26.07 / 13:29

Ripple XRP SEC SEC Appeal Can Bring More Wins To XRP, RippleLabs Legal Team Suggests

Ripple’s legal chief Stuart Alderoty says that a potential appeal by the Securities and Exchange Commission (SEC) after the recent ruling could play into the hand of the company.

26.07 / 12:13

Reuters Waters SEC DISH Latin P&G drops forest pledge, drawing ire of green groups, investors

By Jessica DiNapoli

26.07 / 09:29

SEC DWS sets aside €21m as SEC greenwashing probe nears conclusion

DWS, the asset management business majority owned by Deutsche Bank, has set aside €21m which it could draw on to pay regulators probing allegations the fund group overstated its ESG credentials.

26.07 / 07:07

Law Ripple XRP regulation SEC Court Ripple Labs SEC appeal could amplify Ripple win, says Ripple Labs legal chief

Concerns of a potential appeal by the United States securities regulator to the landmark Ripple ruling earlier this month were shrugged off by Ripple’s chief legal officer Stuart Alderoty.

26.07 / 04:43

Blockchain Provident Digital Waters SEC CEO committee US congressional committee set to weigh crypto bills

regulatory framework for cryptocurrencies, a milestone for Capitol Hill in its efforts to codify federal oversight for the digital asset industry. The crypto industry has been in the regulatory crosshairs since investors were burned last year by sudden collapses of Celsius Network, Voyager Digital, FTX and other companies.

25.07 / 21:17

markets CFTC SEC Bitcoin Bitcoin Price Dollar Bitcoin price is down, but data signals that $30K and above is the path of least resistance

On July 24, Bitcoin experienced a flash crash, plummeting to $29,000 in a movement now attributed to significant Bitcoin holders potentially liquidating their positions.

25.07 / 21:07

UPS Provident Binance SEC Bitcoin voice saga compliance Crypto's Early Innovator Turns Advocate for Compliance: The Charlie Shrem Saga

Charlie Shrem – founder of the fallen Bitcoin (BTC) exchange Bitshrem – has pivoted to being a voice for regulatory compliance after being jailed for crypto violations eight years ago.

25.07 / 20:01

UPS Provident SEC PwC country Stock Exchange Regulators Back Global Climate-Reporting Rules

Regulators of the world’s top stock exchanges gave their backing to the international climate-reporting standards framework Tuesday, adding momentum to efforts to establish the rules as the global baseline. The International Organization of Securities Commissions, known as Iosco, endorsed the International Sustainability Standards Board’s recently published climate reporting standard. Iosco’s board of 35 securities regulators—which includes the U.S.

25.07 / 18:13

UPS IPO Provident SEC Nov Broker Deadline set for broker-dealer merger with SPAC

It’s put up or shut up time for the merger between a buyer of small to midsize broker-dealers, Wentworth Management Services, and a special purpose acquisition company, or SPAC, called Kingswood Acquisition Corp., with the deadline for the deal to be completed now set for late November, according to a filing Monday with the Securities and Exchange Commission.

25.07 / 15:27

Blockchain COST SEC Action Strategy country Crypto Companies compliance Financial 8 ways crypto companies can improve their financial compliance in the US

The U.S. presents many obstacles to crypto companies, with a multiplicity of federal and state regulatory agencies having real or potential jurisdiction over the industry. Its unique political environment has contributed to more governmental skepticism toward crypto than is seen in other countries, and high-profile punitive actions by the Securities and Exchange Commission are making many crypto companies nervous about maintaining a foothold in the U.S.

25.07 / 14:39

UPS Twitter SEC Tesla elon Elon Musk to appeal loss in SEC case to Supreme Court

By Jonathan Stempel

25.07 / 12:39

business Blockchain Stablecoin CFTC regulation SEC Former CFTC chairman says stablecoins can be a bridge between two worlds

The former chairman of the United States Commodity Futures Trading Commission (CFTC), Timothy Massad, highlighted the importance of government attention being paid to the stablecoin ecosystem in an interview with CNBC.

25.07 / 10:01

Binance Cooper SEC CEO Strategy Binance and CEO Changpeng Zhao Plan to Submit Motion to Dismiss CFTC Lawsuit

Binance, the world's biggest crypto exchange, billionaire founder Changpeng Zhao – CZ – and the exchange’s former compliance chief Samuel Lim have intended to file two motions to dismiss a complaint from the Commodity Futures Trading Commission (CFTC).

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