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The Securities and Exchange Commission today charged Milan Vinod Patel, of Cumming, Georgia, for spreading more than 100 false rumors about public companies to generate more than $1 million in illicit trading profits. The SEC previously charged Barton…
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Crypto Regulations Update: The SEC Goes After Unregistered Securities
After a particularly volatile year, the SEC has been cracking down on crypto companies. Here’s what prompted these crackdowns and what to expect moving forward.
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SEC Finalizes Rules to Reduce Risks in Clearance and Settlement
The Securities and Exchange Commission today adopted rule changes to shorten the standard settlement cycle for most broker-dealer transactions in securities from two business days after the trade date (T+2) to one (T+1). The final rule is designed to…
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The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. If adopted, the changes would amend and redesignate rule 206(4)-2, the Commission’s custody rule,…
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Housing Market Downturn Pushes Record Number Of Investors Away—Here’s Why That’s Good News For Home Buyers
Last quarter’s drop in investor purchases surpassed the largest decline during the subprime mortgage crisis in 2008, when investor purchases slumped 45% as the housing market abruptly imploded.
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SEC Proposes Enhanced Safeguarding Rule for Registered Investment Advisers
The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. If adopted, the changes would amend and redesignate rule 206(4)-2, the Commission’s custody rule,…
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The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. The Privacy Act is the principal law governing the handling of personal information in the federal government. The current…
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The Securities and Exchange Commission today announced the start of the selection process to fill a seat on the Public Company Accounting Oversight Board (PCAOB) that will become vacant in October. The PCAOB appointment is for a five-year term from…
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Kraken to Discontinue Unregistered Offer and Sale of Crypto Asset Staking-As-A-Service Program and Pay $30 Million to Settle SEC Charges
The Securities and Exchange Commission today charged Payward Ventures, Inc. and Payward Trading Ltd., both commonly known as Kraken, with failing to register the offer and sale of their crypto asset staking-as-a-service program, whereby investors…
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