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SEC

 


SEC typically refers to U.S. Securities and Exchange Commission which "protects investors in the $3.8 trillion municipal securities markets that cities and towns rely on to provide neighborhood schools, local libraries and hospitals, public parks, safe drinking water and so much more". But it can also refer to the security and exchange regulation bodies of other countries.

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SEC Charges Impact Theory for Unregistered NFT Sales
Impact Theory, a Los Angeles-based company, has been charged by the SEC with violating federal securities laws by offering unregistered NFTs as investment contracts.
Rebeca Moen
Aug 29, 2023

| 2 Min Read

#SEC #IMPACT THEORY #UNREGISTERED NFT SALES #NFT
#SEC #IMPACT THEORY #UNREGISTERED NFT SALES #NFT
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Washington D.C. Attorney Faces SEC Insider Trading Charges
Romero Cabral da Costa Neto, a visiting attorney at a global law firm, has been charged with insider trading by the SEC, alleging he accessed confidential information about Swedish Orphan Biovitrum's acquisition of CTIC and purchased over 10,000 shares.
Luisa Crawford
Aug 24, 2023

| 2 Min Read

#WASHINGTON D.C. ATTORNEY #SEC #INSIDER TRADING #CTIC
#WASHINGTON D.C. ATTORNEY #SEC #INSIDER TRADING #CTIC
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SEC's Chair Gary Gensler Issues Statement on Amendments to Broker-Dealer Registration Rule
The U.S. Securities and Exchange Commission (SEC) is amending Rule 15b9-1, allowing broker-dealers to bypass national securities associations like FINRA. The changes aim to ensure consistent oversight, particularly in cross-market and off-exchange activities, and promote transparency and efficiency in the capital markets, benefiting investors.
Jessie A Ellis
Aug 24, 2023

| 2 Min Read

#SEC #GARY GENSLER #BROKER-DEALER REGISTRATION RULE #FINRA
#SEC #GARY GENSLER #BROKER-DEALER REGISTRATION RULE #FINRA
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Blazar Token Scam: Former New Jersey Corrections Officer Charged by SEC
Former New Jersey State Correctional Police Officer John A. DeSalvo has been charged with fraudulently raising funds through the unregistered offering of the Blazar Token, a crypto asset security. The token, which collapsed in May 2022, was marketed as a replacement for state pension systems. DeSalvo misused investor funds, transferring a large portion to his personal wallets.
Zach Anderson
Aug 24, 2023

| 2 Min Read

#BLAZAR #SCAM #FORMER NEW JERSEY CORRECTIONS OFFICER #SEC
#BLAZAR #SCAM #FORMER NEW JERSEY CORRECTIONS OFFICER #SEC
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SEC Charges Titan Global Capital Management for Misleading Advertisements and Compliance Failures
On Aug 21, 2023, the SEC charged Titan Global Capital Management for misleading ads and compliance failures. Titan advertised a 2,700% annualized return, omitting key details. They'll pay $1.04M in penalties and disgorgement.
Zach Anderson
Aug 22, 2023

| 0 Min Read

#SEC #TITAN GLOBAL CAPITAL MANAGEMENT #MISLEADING ADVERTISEMENTS #COMPLIANCE FAILURES
#SEC #TITAN GLOBAL CAPITAL MANAGEMENT #MISLEADING ADVERTISEMENTS #COMPLIANCE FAILURES
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Gemini Responds to SEC Lawsuit Over Alleged Unregistered Securities
Gemini has filed a reply brief to a US SEC lawsuit alleging that its service, Gemini Earn, violated securities regulations by offering unregistered securities. Gemini's legal defense, represented by JFB LEGAL, PLLC and SHEARMAN & STERLING LLP, argues that the complaint lacks concrete evidence and is based on "conclusory statements."
Rebeca Moen
Aug 21, 2023

| 3 Min Read

#GEMINI #SEC #UNREGISTERED SECURITIES #GEMINI EARN
#GEMINI #SEC #UNREGISTERED SECURITIES #GEMINI EARN
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SEC Could Approve All Ethereum ETFs Concurrently
SEC may greenlight multiple Ethereum ETFs at once, signaling a shift in U.S. crypto regulation. Key players like Volatility Shares & Valkyrie await decisions.
Rebeca Moen
Aug 20, 2023

| 0 Min Read

#SEC #ETHEREUM #ETFS #VOLATILITY SHARES
#SEC #ETHEREUM #ETFS #VOLATILITY SHARES
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SEC Collaborates with South Korea in Probing Terraform Labs and Do Kwon
The US SEC has approved collaboration with South Korea to investigate Terraform Labs and co-founders Daniel Shin and Do Kwon. The investigation focuses on Chai Corporation's use of the Terra blockchain and its relationship statements with Terraform. Shin is charged with fraud, while Kwon faces investigations in both the US and South Korea.
Luisa Crawford
Aug 19, 2023

| 2 Min Read

#SEC #SOUTH KOREA #TERRAFORM LABS #DO KWON #DANIEL SHIN #LUNA #LUNC
#SEC #SOUTH KOREA #TERRAFORM LABS #DO KWON #DANIEL SHIN #LUNA #LUNC
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Prometheum's License Approval: Republican Lawmakers Challenge SEC and FINRA Decisions
Prometheum Ember Capital's designation as the first digital asset SPBD has raised concerns among Republican House Committee members.
Zach Anderson
Aug 17, 2023

| 0 Min Read

#PROMETHEUM #REPUBLICAN LAWMAKERS #SEC #FINRA
#PROMETHEUM #REPUBLICAN LAWMAKERS #SEC #FINRA
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SEC Charges UK Audit Firm Crowe and Senior Executives Over Deficient Audit of Akazoo
SEC charges Crowe U.K. LLP, CEO Nigel Bostock, and auditor Matthew Stallabrass over flawed Akazoo audit. Akazoo's 2018 report falsely claimed $120M revenue. Settlements agreed; penalties total $785,000. Both executives face SEC suspensions.
Terrill Dicki
Aug 15, 2023

| 0 Min Read

#SEC #UK AUDIT FIRM #CROWE #AKAZOO #PCAOB
#SEC #UK AUDIT FIRM #CROWE #AKAZOO #PCAOB

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