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updated Mon. December 11, 2023

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The Securities and Exchange Commission calls its new investor protection proposal a best-interest rule, but it could also be dubbed fiduciary lite. ... Thomas Doellman, assistant professor of finance at St. Louis University, said that if the SEC clarified some aspects of the rule, it had the potential to provide ...
In a comprehensive letter to Congresswoman Carolyn Maloney (D-NY) obtained by Yahoo Finance, SEC Chair Jay Clayton gave shareholder advocates causes for both relief and concern about whether the agency will make it harder for investors to sue public companies. Clayton clarified how the agency ...

SEC football news never stops. So join us for SEC Country Live every Monday-Thursday at 3 p.m. ET! Host Brandon Adams and former Alabama All-American Mike Johnson break down everything you need to know in the SEC football world with news, analysis and so much more. Join the conversation on ...
Liberty, his wife, his Portland lawyer, a cousin, the cousin's friend and four shell companies were all charged in a 66-page complaint filed by the Securities and Exchange Commission in federal court in Maine. It alleges that Liberty and his associates “engaged in a long-running fraudulent scheme using ...
Michael Liberty, the founder of unicorn fintech startup Mozido Inc., has been charged by the Securities and Exchange Commission with a scheme to defraud investors. The SEC alleges Liberty and others, including his with Brittany Liberty and attorney George Marcus, tricked "hundreds of investors" in his ...
With help from CipherTrace, the US Securities and Exchange Commission (SEC) may soon enhance its cryptocurrency monitoring. ... Long-time readers may remember that the SEC previously employed investigative blockchain firm Chainalysis, so the forthcoming SEC-CipherTrade partnership should ...

According to the SEC, Sharma and Farkas claimed the company would offer a variety of financial products, including a debit card backed by Visa and MasterCard, with which users could instantly convert cryptocurrencies into US dollars and other legal tender. The SEC says that no such agreement or ...
The Securities and Exchange Commission (SEC) announced news on Monday (April 2) that it charged Michael Liberty, the founder of Mozido, the FinTech startup, with scamming investors out of their money. According to a press release issued by the SEC, the regulator contends Liberty engaged in a scam to trick hundreds ...
Trading of digital assets using cryptocurrency and digital tokens has grown exponentially in recent years, and the Securities and Exchange Commission is taking note: The agency's compliance examiners have added burgeoning online trading transactions to their priority list in 2018 as they keep a lookout ...
There amidst attorneys from various government agencies, including the SEC, the CEO of blockchain startup Sweetbridge and long-time logistics tech specialist was prepared to discuss his company's forthcoming initial coin offering (ICO). The lawyers on his team had tried to persuade him not to go.

The Securities and Exchange Commission entered a default judgment against DaRayl D. Davis, a self-styled "financial coach" who took $5 million from church ... Mr. Davis, a Maryland resident, was a registered representative and investment adviser from 2005 though 2008, according to the SEC complaint.
Cboe Global Markets, the first to launch bitcoin futures, would like the Securities and Exchange Commission to allow cryptocurrency exchange-traded funds. "Cboe encourages the Commission to approach Cryptocurrency ETPs [exchange-traded products] holistically and from the same perspective that it ...
According to the SEC, some retirement account customers were disadvantaged by the firm's failure to determine the availability of less expensive mutual fund share classes. Ameriprise also didn't disclose it would be compensated better for its more expensive recommendations or that the purchases would ...
Rumors seem to be feeding rumors as it relates to a spate of subpoenas sent out recently to initial coin offering (ICO) issuers by the U.S. Securities and Exchange Commission (SEC). At press time, it's unclear when or whether the 80 or so subpoenas (or maybe it's 200) were sent out; or which group of ...
It has been seven years since the Securities and Exchange Commission first advised public companies to tell investors if they had suffered a cyberattack deemed to be material. But even with the rising number of severe hacks, only a few companies report incidents each year to the S.E.C.. Now the S.E.C. ...
Agatha Christie's fictional sleuth Miss Marple once said in a BBC adaptation that “good advice is almost certain to be ignored, but that's no reason for not giving it.” That may reflect how companies will respond to guidance recently issued by the Securities and Exchange Commission about how companies ...
The Securities and Exchange Commission has launched a broad investigation into the companies and financial professionals behind many recent initial coin offerings, or ICOs. The investigation was first reported by the Wall Street Journal and independently confirmed by NPR. According to the Journal, the ...


 

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