Banking
SEC: Charges Five Russians in $80 Million Hacking and Trading Scheme
SEC: Charges Five Russians in $80 Million Hacking and Trading SchemeSEC announced fraud charges against five Russian nationals for engaging in a multi-year...
Banking
SEC: Appoints Haoxiang Zhu Director of Division of Trading and Markets
SEC: Appoints Haoxiang Zhu Director of Division of Trading and MarketsSEC announced the appointment of Haoxiang Zhu, a professor of finance at the...
Banking
SEC: Proposes Updates to Electronic Recordkeeping Requirements
SEC: Proposes Updates to Electronic Recordkeeping RequirementsSEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation
Published proposed...
Banking
SEC: Charges DeFi company for defrauding investors out of $30 million
SEC: Charges DeFi company for defrauding investors out of $30 millionSEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate...
Banking
SEC: Forces UBS to return $8 million to investors in complex ETF product
SEC: Forces UBS to return $8 million to investors in complex ETF productSEC filed a settled action against UBS Financial Services Inc. for...
Banking
SEC: FinHub becomes standalone office
The SEC announced that the SEC's Strategic Hub for Innovation and Financial Technology, commonly referred to as FinHub
Valerie A. Szczepanik will continue...
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