Gensler Asserts SEC Authority Over Crypto as Opponents Waver July 11, 2023 By Allyson Versprille Gary Gensler’s Securities and Exchange Commission is filling the crypto regulatory void, and the industry and its backers on Capitol...
SolarWinds Executives Receive Wells Notice From SEC June 26, 2023 SolarWinds said on Friday some of its former and current executives had been issued a Wells notice by the U.S....
SEC to Weigh New Artificial-Intelligence Rules for Brokerages June 15, 2023 By Lydia Beyoud Wall Street’s main regulator is moving to introduce new rules for brokerages using artificial intelligence to interact with clients. The...
SEC Sues Crypto Exchange Coinbase, One Day After Suing Binance June 7, 2023 By Jonathan Stempel The U.S. Securities and Exchange Commission on Tuesday sued Coinbase, accusing the largest U.S. cryptocurrency platform of operating illegally because...
SEC Sues Binance and Founder Zhao Over ‘Web of Deception’ June 6, 2023 By Hannah Lang, Jonathan Stempel and Tom Wilson U.S. regulators sued Binance and its CEO Changpeng Zhao on Monday for allegedly operating a “web of deception,” piling further...
SEC to Dismiss 42 Enforcement Cases After Internal Data Mishap June 5, 2023 By Pete Schroeder The U.S. Securities and Exchange Commission announced Friday it had dismissed 42 pending enforcement cases after discovering enforcement staff had...
Former Wells Fargo Exec Settles SEC Fraud Charges, to Pay $3M June 1, 2023 The former head of Wells Fargo & Co’s WFC.N retail bank agreed to pay a $3 million penalty to settle...
Amsterdam’s Phillips to Pay $62M to U.S. for China Sales Misconduct May 12, 2023 The U.S. Securities and Exchange Commission reported that Amsterdam-based health technology firm Koninklijke Philips N.V. will pay more than $62...
SEC Issues Largest Ever Whistleblower Award of $279M May 8, 2023 The U.S. Securities and Exchange Commission (SEC) has issued its largest ever award of nearly $279 million to a whistleblower...
Coinbase Files Legal Challenge to Push SEC to Write Rules on Crypto April 25, 2023 By Hannah Lang Coinbase Global Inc filed a petition on Monday in an effort to compel the U.S. Securities and Exchange Commission to...