Company: Securities and Exchange Commission

1118 results found
vintage microphones

A popular trading platform has settled allegations that it violated rules as an unregistered exchange

Block letters spelling fraud, with magnifying glass

The alleged schemes generated over US$1 billion in penny stock sales

Whistleblower

The SEC has given out approximately US$950 million to 193 whistleblowers since 2012

  • By: IE Staff
  • August 6, 2021 August 6, 2021
  • 15:17
gavel on a laptop

Two men from Florida agreed to the penalties without admitting or denying the charges

  • By: IE Staff
  • August 6, 2021 August 6, 2021
  • 13:38
Pile of cryptocurrency coins

The SEC chairman said the regulator needs more authority and resources to regulate crypto markets

  • By: Matt Ott
  • August 3, 2021 August 3, 2021
  • 15:31
Closeup of mallet being hit on stacked coins at table in courtroom

The US$8.1-million settlement will be distributed to harmed investors

whistleblower

The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards

gavel on a laptop

A pair of SEC commissioners criticized the lack of guidance regarding the regulator's approach to digital assets

gavel

The regulator alleged that investors were misled by a shell company and its acquisition target

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

The firm pushed advisors to recommend higher-cost managed accounts to clients