Netcapital Charged by SEC with Fraud for Inflating Revenue
The US Securities and Exchange Commission (SEC) has charged Netcapital with fraud, alleging the company inflated its revenue.
Results for "US Securities and Exchange Commission (SEC)"
12 stories found
US SEC Probes Popular Private Equity Fund Type
The US Securities and Exchange Commission (SEC) is reportedly investigating a popular type of private equity fund as it intensifies scrutiny of the industry.
Goldman Sachs Files for Bitcoin Income ETF Using Options Strategy
Goldman Sachs has submitted a filing with the US Securities and Exchange Commission (SEC) to launch a Bitcoin-linked exchange-traded fund (ETF) that will employ an options strategy to generate income.
US SEC Reportedly Preparing to Scrap Quarterly Reporting Requirement
The US Securities and Exchange Commission (SEC) is reportedly considering eliminating the quarterly reporting requirement for public companies, a move that could significantly alter corporate disclosure practices.
SEC Requires US Activist Investors to Disclose Clients
The US Securities and Exchange Commission (SEC) has mandated that activist investors in the United States must disclose their clients in regulatory filings.
Franklin's Wamco to Pay $100 Million in SEC Settlement
Western Asset Management Company (Wamco), a subsidiary of Franklin Resources, has agreed to pay $100 million in a settlement with the US Securities and Exchange Commission (SEC). The settlement addresses allegations related to "leech trades."
Egan-Jones Hits Back at SEC's 'Incendiary Allegation'
Private credit rating agency Egan-Jones has responded to what it calls an 'incendiary allegation' made by the US Securities and Exchange Commission (SEC), claiming the regulator's publication of an order harmed its business.
Canaccord Genuity Fined $20 Million by US SEC
Canaccord Genuity has been fined $20 million by the US Securities and Exchange Commission (SEC) for undisclosed reasons.
SEC Considers New Rules Amid ETF Market Boom
The US Securities and Exchange Commission (SEC) is reportedly evaluating new regulations for Exchange Traded Funds (ETFs) as the market experiences a significant boom, now valued at $16 trillion.
SEC Proposes Removal of Quarterly Reporting for US Public Companies
The US Securities and Exchange Commission (SEC) has proposed a new rule that would eliminate quarterly reporting requirements for public companies.
SEC Issues Long-Awaited Crypto Guidance, Defines Digital Assets
The US Securities and Exchange Commission (SEC) has issued long-awaited cryptocurrency guidance, classifying crypto into five categories and clarifying that securities laws apply only to digital securities, with some experts asserting that tokens are not securities. This guidance aims to define crypto assets more clearly.
SEC Pushes Back Against High-Leverage ETF Plans
The US Securities and Exchange Commission (SEC) is reportedly pushing back against a new wave of planned high-leverage exchange-traded funds (ETFs), using a rare group call to reiterate its concerns about aggressive fund structures.