The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...

On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...

The US Securities and Exchange Commission has filed its arguments appealing a federal court judge’s ruling in its partially failed case against Ripple Labs — which has been slammed by the company’s ...

The long-running legal battle between the U.S. Securities and Exchange Commission (SEC) and Ripple Labs has taken a significant turn, with both sides filing a joint motion to hold the ongoing appeal ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

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The lawsuit against Ripple, filed by the United States Securities and Exchange Commission in December 2020, is finally wrapping up. Ripple and the United States Securities and Exchange Commission (SEC ...

The Securities and Exchange Commission on Friday issued an order directing U.S. stock exchanges and the Financial Industry Regulatory Authority to file a new national market system plan, or NMS plan, ...

The Securities and Exchange Commission (SEC) filed a lawsuit last week against a company and a specific business deal that directly involves President Biden’s younger brother, James Biden. The ...