Articles with tag like: Securities and Exchange Commission

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SEC sues Ripple for raising funds through an unregistered securities offering

News | Cryptocurrencies | 23 Dec 2020

The US Securities and Exchange Commission (SEC) has sued Ripple for raising more than USD 1.3 billion through an unregistered securities offering.

Securities and Exchange Commission, SEC, Ripple, XRP, security, crypto, investments, Bradley Garlinghouse

Robinhood penalised by SEC with USD 65 million for misleading users

News | Payments General | 21 Dec 2020

The Securities and Exchange Commission (SEC) has charged the makers of Robinhood, a popular stock trading app, with ‘misleading customers about revenue sources and failing to satisfy the duty of best execution’.

Securities and Exchange Commission, SEC, Robinhood, trading app, fintech, penalty, US, transaction fees

Affirm fills confidential IPO paperwork

News | Ecommerce | 12 Oct 2020

Affirm Holdings has announced that it had filed confidential paperwork with the Securities and Exchange Commission related to a proposed initial public offering.

Klarna, Afterpay, PayPal, Affirm Holdings, IPO, installment, Securities and Exchange Commission, buy-now, pay-later purchases, US

Morgan Stanley to pay USD 5 mln fine

News | Payments General | 14 May 2020

A unit of Morgan Stanley has agreed to pay a USD 5 million fine to settle US Securities and Exchange Commission charges.

SEC, Morgan Stanley, banks, US, Securities and Exchange Commission, retail, wrap fee

Commissioners, SEC to talk about crypto and Libra at congress hearing

News | Cryptocurrencies | 20 Sep 2019

The US House Financial Services Committee have announced plans to question the Securities and Exchange Commission (SEC) about cryptocurrencies and Facebook’s Libra project.

US House Financial Services Committee, SEC, cryptocurrency, Libra, securities, tokens, Securities and Exchange Commission, Congress

SEC fines Mizuhos US unit with USD 1.25 million

News | Digital Identity, Security & Online Fraud | 24 Jul 2018

The US Securities and Exchange Commission has penalized Mizuho Financial Group for its failure to safeguard information pertaining to stock buybacks by its issuer customers.

SEC, Securities and Exchange Commission, fine, Mizuho Financial Group, fraud prevention, fine

Thailand to regulate cryptocurrencies and ICOs by June 2018

News | Cryptocurrencies | 17 May 2018

Thailand‘s Securities and Exchange Commission has announced a future hearing to establish regulations on cryptocurrencies and initial coin offerings.

Securities and Exchange Commission, Thailand, cryptocurrencies, Initial Coin Offerings, digital assets

SEC stops celebrity-endorsed ICO, charges founders with fraud

News | Cryptocurrencies | 03 Apr 2018

The US Securities and Exchange Commission has stopped an initial coin offering (ICO) and charged its founders with “orchestrating a fraudulent ICO,” according to CoinDesk.

SEC, US, Securities and Exchange Commission, fraudulent ICOs, cryptocurrency, tokens, unregistered securities

SEC continues to investigate ICOs and crypto companies

News | Cryptocurrencies | 01 Mar 2018

The Securities and Exchange Commission has issued subpoenas and requests for information to tech companies involved in the cryptocurrencies market.

Securities and Exchange Commission, SEC, cryptocurrency, online security, US, ICO, tokens, fraud prevention

US regulator stops Munchee digital-token sale

News | Cryptocurrencies | 13 Dec 2017

The US Securities and Exchange Commission has stopped Munchee’s multi-million dollar digital token sale.

Securities and Exchange Commission, cryptocurrency, crypto, token sale, ICO, US, fraud prevention, online security, Munchee

US regulators warn celebrity cryptocurrency backers

News | Cryptocurrencies | 03 Nov 2017

The Securities and Exchange Commission (SEC) has been warning cryptocurrency enthusiasts about the fact that celebrities endorsing cryptocurrencies could break laws on selling securities.

Securities and Exchange Commission, SEC, cryptocurrency, online security, US, ICO, tokens, fraud prevention