Tags Securities and Exchange Commission (SEC)

Tag: Securities and Exchange Commission (SEC)

SEC offers EU traders clearer path to register in the US

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.

SEC votes to simplify financial disclosure requirements

A top financial markets watchdog has voted to adopt amendments that will modernise, simplify and enhance certain financial disclosure requirements in Regulation S-K.

The SEC introduces new rule to make it easier for foreign...

From: RegTech Analyst The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator. Substituted compliance...

SEC updates reporting rules for public companies

The Securities and Exchange Commission (SEC) has voted to update the description of business, legal proceedings and risk factor disclosures that registrants are required to make pursuant to Regulation S-K.

SEC opens up private capital market for more people

The US Securities and Exchange Commission (SEC) has voted to amend its definition of accredited investors, meaning more people will soon be eligible to enter the private capital market.

Akemona becomes member of FINRA

Digital securities company Akemona has registered with the US Securities and Exchange Commission (SEC) and is now a member of the Financial Industry Regulatory Authority (FINRA).

Telegram forced to return $1.2bn to investors that backed its cryptocurrency...

Telegram's battle with the American authorities has ended with the social media app agreeing to pay back all the proceeds made from its cryptocurrency project and to pay a hefty fine.

SEC charges penny stock traders for COVID-19 fraud

A penny stock trader is facing fraud allegations that could see him slammed by permanent injunctions, civil money penalties, a penny stock bar, and disgorgement with prejudgment interest.

Ares Management to pay $1m for allegedly breaking rules about misuse...

From: RegTech Analyst Los Angeles-based private equity firm Ares Management has been forced by the Securities and Exchange Commission (SEC) pay $1m to settle...

BitClave forced to pay back $25.5m from unregistered initial coin offering...

Blockchain services company BitClave has agreed to pay back the proceeds of its unregistered initial coin offering (ICO) and settling charges brought on by the Securities and Exchange Commission (SEC).

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