The Securities and Exchange Commission (SEC) has announced that it has charged Giga Entertainment Media Inc. and five of its…
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Tag: SEC
SEC settles insider trading claims against former CEO of Advanced Medical Optics
The Securities and Exchange Commission (SEC) has announced that it has agreed to resolve its insider trading claims against James…
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The SEC charges EtherDelta Founder for managing an unregistered exchange
Zachary Coburn, the founder of EtherDelta, has been charged by the SEC for operating an unregistered exchange, states a press…
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Citibank to pay more than $38 million for improper handling of ADRs
The Securities and Exchange Commission (SEC) has just announced that Citibank N.A. has agreed to pay $38.7 million to settle…
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ITG pays $12 million for misleading dark pool subscribers
The Securities and Exchange Commission (SEC) has announced that ITG Inc. and its affiliate AlterNet Securities Inc. have agreed to…
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Anthony S. Kelly, Co-Chief of Asset Management Unit, to leave SEC
The Securities and Exchange Commission (SEC) has announced that Anthony S. Kelly, Co-Chief of the Enforcement Division’s Asset Management Unit,…
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SEC updates list of firms using inaccurate information to solicit investors
The Securities and Exchange Commission (SEC) has announced that it has updated its list of unregistered entities that use misleading…
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SEC to modernize property disclosures required for mining registrants
The Securities and Exchange Commission (SEC) has announced that it has voted to adopt amendments to modernize the property disclosure…
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Is VanEck launching a Bitcoin ETF after meeting with the SEC?
The SEC has officially opened a new office to deal with fintech and cryptocurrencies. The interest for a Bitcoin ETF…
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‘Frack Master’ pleads guilty to massive fraud, faces 12 years in prison
The Securities and Exchange Commission (SEC) has announced it has agreed to a settlement with Christopher A. Faulkner—the self-proclaimed “Frack…
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