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Tag: SEC

SEC Charges Crypto Platform Coinbase, One Day after Suing Binance

SEC Sues Coinbase

The U.S. Securities and Exchange Commission on Tuesday sued Coinbase, accusing the largest U.S. cryptocurrency exchange of operating illegally because it failed to first registered with the regulator.

Published June 6, 2023
Categorized as Show on Homepage Tagged Binance, coinbase, SEC

SEC Dismisses Dozens of Enforcement Cases Amid Internal Data Mishap

SEC cyber probe

The Securities and Exchange Commission has dismissed 42 pending enforcement cases after discovering that enforcement personnel had improper access to materials intended for commission officials ruling on those cases.

Published June 5, 2023
Categorized as Show on Homepage Tagged enforcement cases, internal handling, SEC

SEC Awards $279M in Largest-ever Whistleblower Payout

SEC Sues Coinbase

The SEC announced a $279 million award to a whistleblower, the largest the agency has ever given someone who stepped forward with information benefiting an investigation.

Published May 9, 2023
Categorized as Show on Homepage Tagged SEC, SEC investigation, whistleblower award

Proposed Climate Disclosure Rule Exposes Surprising Splits Among Businesses

climate change and health insurance

When regulators announced a plan to require businesses to disclose their carbon emissions and other climate data, they knew they were stirring up a political storm.

Published April 17, 2023
Categorized as Show on Homepage Tagged carbon emissions, climate rule disclosure, corporate carbon footprint, SEC

Hagerty Trims Staff by 4%

Hagerty net income improves

The Traverse City-based company will lay off 83 employees, according to a Securities and Exchange Commission filing submitted Wednesday morning.

Published April 13, 2023
Categorized as Show on Homepage Tagged classic car insurance, Hagerty layoffs, SEC

SEC Planning Lawsuit Against Coinbase, Crypto Exchange Claims

SEC Sues Coinbase

The SEC has told Coinbase Global it plans to take enforcement action against the company, escalating its crackdown on digital-currency firms by targeting the biggest US crypto exchange.

Published March 24, 2023
Categorized as Show on Homepage Tagged coinbase, crypto exchange, SEC

SEC to Consider New Cybersecurity Rules for Financial Firms

Howden launches Cyberwrite

Brokers and asset managers would have to notify their customers of data breaches as part of a raft of cybersecurity-related rules the SEC is set to vote on today.

Published March 15, 2023
Categorized as Show on Homepage Tagged asset managers, brokers, cybersecurity, financial services, SEC

DOJ, SEC Investigating Silicon Valley Bank’s Collapse

SVB court ruling for customers

The DOJ and SEC are investigating the collapse of Silicon Valley Bank after the California lender was taken over by regulators last week amid a historic run on its deposits. 

Published March 14, 2023
Categorized as Show on Homepage Tagged bank investigation, DOJ, run on deposits, SEC, SVB invesigation

Crypto Investors Brace for More Crackdowns from Regulators

cryptocurrency regulation

Regulators have not taken action against many of the industry’s biggest crypto players, but they are now restricting access to critical products and services in the digital-currency business.

Published February 14, 2023
Categorized as Show on Homepage Tagged crypto regulation, cryptocurrency, digital-currency business, SEC

Bloomberg Finance Fined $5M by SEC for Disclosure Violations on Fixed-Income Prices

SEC cyber probe

Bloomberg Finance LP was fined $5 million by the SEC to settle civil charges that the company misled customers about how it calculated the prices of certain securities.

Published January 24, 2023
Categorized as Show on Homepage Tagged Bloomberg fine, fixed income disclosure, SEC, securities disclosure

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