Company: Securities and Exchange Commission

1474 results found
Crypto coins

Investors were promised profits from crypto trading and mining

Picking a dollar

Regulator says host touted real estate investment scheme that took US$11 million from investors

Fines graphic

The firm's U.S. advisory unit will pay US$25 million to resolve charges

Inspecting papers

Regulator aims for truth in advertising, seeks to combat greenwashing

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

Trading ahead of pending merger deals led to SEC charges

Ontario teams up with Israel to tackle cybersecurity in financial services

Firm rejects regulator's allegations, cites political motive for action

Cat looking at screen

SEC sanctions Stoner Cats creator over NFT sales

rules and regulations

In joint letter, industry associations lobby against proposed changes

angry client meeting

Investment advisers violated revised marketing rules, regulator alleges

Company sanctioned for employee agreements that waived rights to whistleblower awards