Company: Securities and Exchange Commission

1369 results found
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Fund industry critics worry about rules' impact on liquidity, costs

Pile of cryptocurrency coins

Interest-earning program violated state, federal securities laws, regulators alleged

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Students defrauded into financing fictitious AI-powered hedge fund

Target hit in the center by arrow

Firms use forced arbitration to discourage clients from pursuing complaints

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SEC, DoJ file allegations against HyperFund promoters

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New rules beef up disclosure, investor protections around shell company financings

cryptocurrencies

Regulators seek to codify initial investment restrictions, custody provisions

Whistleblower

The SEC sanctioned the firm for violating whistleblower protections

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Trio traded on inside information about pending mergers and acquisitions

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Firm and executive settled charges with SEC, SDNY