The Securities and Exchange Commission today adopted rules to prevent fraud, manipulation, and deception in connection with security-based swap transactions and to prevent undue influence over the chief compliance officer (CCO) of security-based swap… Full report at: Read More

SEC Charges Financial Advisor with Fraud for Stealing from Elderly Customers to Pay Personal Expenses Read the full report at Read More

The Securities and Exchange Commission today charged Coinbase, Inc. with operating its crypto asset trading platform as an unregistered national securities exchange, broker, and clearing agency. The SEC also charged Coinbase for failing to register the… Full report at: Read More

The Securities and Exchange Commission today charged Binance Holdings Ltd. (“Binance”), which operates the largest crypto asset trading platform in the world, Binance.com; U.S.-based affiliate, BAM Trading Services Inc. (“BAM Trading”), which, together… Full report at: Read More

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, June 14. The Committee will start the morning session by hearing from its members about marketplace… Full report at: Read More

SEC Charges Massachusetts-Based Firm and Its Co-Owners with Acting as Unregistered Securities Dealers Read the full report at Read More

SEC Charges Repeat Securities Law Violator with New Offering Fraud Read the full report at Read More

SEC Charges Self-Proclaimed ‘Queen of Mobile Homes’ and Three Salespeople with Fraud in Mobile Home Investment Scheme Read the full report at Read More

SEC Settles IIIicit Trading Case Against Two Former Registered Representatives Read the full report at Read More

The Securities and Exchange Commission today announced its settlement with the former head of Wells Fargo & Co.’s Community Bank, Carrie L. Tolstedt, in which she has agreed to pay a $3 million penalty stemming from charges brought in 2020 for her… Full report at: Read More