Company: Securities and Exchange Commission

914 results found
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Agency was accused of failing to disclose that it was paid by issuers to rate ICOs

Wall street sign in New York with American flags and New York Stock Exchange background.

Regulators approved amendments designed to simplify requirements and ease some restrictions

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The regulator has charged 13 firms for abusive ADR practices, generating settlements of more than $427 million

Judge gavel, scales of justice and law books in court

The firm settled the case without admitting or denying the allegations

Many hands choosing cryptocurrency coins from box labeled ICO

Allegations include defrauding investors and manipulating token prices

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Investment banker alleged to have profited from knowledge about a planned acquisition

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Advance notice of audit inspections was meant to help audit firm improve its performance

rules and regulations written on folder

Proposals aim to improve the readability of disclosure documents

businessman showing where to sign agreement law contract pen

Social media giant agrees to pay US$100 million

High angle view of mallet eyeglasses legal book in courtroom

Firm agrees to repay fund manager clients US$25M and pay US$1.5M in penalties