The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...

On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

BlackRock filed for a new iShares Bitcoin Premium Income ETF that will generate income by selling call options on IBIT shares ...

The long-running legal battle between the U.S. Securities and Exchange Commission (SEC) and Ripple Labs has taken a significant turn, with both sides filing a joint motion to hold the ongoing appeal ...

SEC divisions release comprehensive framework classifying tokenized securities into issuer-sponsored and third-party models under law.

Grayscale submitted an S-1 on Jan. 20 to bring its Grayscale NEAR Trust ETF and list it on NYSE Arca under the GSNR ticker.

You're currently following this author! Want to unfollow? Unsubscribe via the link in your email. Follow Katherine Tangalakis-Lippert Every time Katherine publishes a story, you’ll get an alert ...

The US Securities and Exchange Commission and blockchain payments firm Ripple agreed to pause their appeals in the ongoing XRP legal battle, signaling a potential move toward a final settlement. The ...

Richard Schueler, who goes by Richard Heart, hailed the SEC’s abandonment of the fraud case against him as a victory for open-source software, cryptocurrency and free speech. The US Securities and ...