Regulation
Proposal Denied! SEC Rejects Plan to Allow New Capital Raises Through Direct Listings
NYSE’s new idea hits a roadblock.
Tag: SEC
Alternatives
SEC Approves Bitcoin Futures Fund
The NYDIG Bitcoin Strategy Fund is not for high-risk averse investors.
Regulation
Chicago Hedge Fund Adviser, Executives Charged with Fraud
SEC alleges firm overcharged investors by inflating fund values.
Market Moves
NYSE Proposes New Method for Companies to Raise Capital When Going Public
Direct listing would allow companies to sell shares in opening auction on first day on exchange.
Regulation
Investment Advisor’s Registration Revoked over Alleged Fraud
SEC says International Investment Group sold at least $60 million in fake loan assets.
Regulation
SEC Stops Ponzi Scheme Targeting Seniors, Small Businesses
Alleged fraudsters invested funds in ‘calamitous trading strategy.’
News
SEC Wants to Protect Teachers, Military Members from Getting Duped
New program would help employees avoid falling victim to securities fraud.
Regulation
SEC Extends Enforcement Reach in 2019
Money returned to swindled investors jumps 50% to $1.2 billion.
Regulation
SEC Charges Adviser over Ponzi Scheme Targeting Haitians
Ruless Pierre, who targeted family and friends, could face 45 years in prison.
Regulation
CalSTRS Says SEC Proposal Weakens Corporate Accountability
Pension giant scolds regulator for attempt ‘to solve problems that simply do not exist.’
Regulation
SEC Accuses Company of Withholding Investor Money to Squelch Whistleblowing
Online auction portal allegedly made investors sign confidentiality agreements prior to distributing returns.
Opinion
What Defines ‘Materiality’? CalPERS’ CEO Likens New SEC Disclosure Rules to Allowances in Sexual Harassment
Marcie Frost says SEC term is too ambiguous.
Two Plead Guilty for Roles in $910 Million Ponzi Scheme
Victims were lured with the promise of gains from alternative energy tax credits.
SEC Questions Strategy for Thinly Traded Securities
‘One-size-fits-all’ equity market structure ‘may not be optimal’ for low-volume trades.
Regulation
SEC Stops $1.7 Billion Unregistered Digital Offering
Emergency order prevents markets from being flooded with illegal tokens.