SEC fines 4 companies for downplaying SolarWinds hack
Bitcoin, Chicago Board Options Exchange
The Daily Hodl1d
SEC Greenlights Bitcoin Options ETFs for New York Stock Exchange and CBOE
The U.S. Securities and Exchange Commission (SEC) is greenlighting Bitcoin (BTC) options exchange-traded funds (ETFs) for two ...
San Antonio's McNally Financial, investment adviser disciplined by state securities regulators
State securities regulators have taken disciplinary action against a San Antonio firm and one of its investment advisers after elderly clients were placed in high-risk investments linked to “volatile” ...
Winterset stockbrokers fined after selling risky securities to Bridges Financial customers
According to federal regulators, David Legrange and Laura Barnes sold bonds from a company that disclosed a "substantial ...
Compliance Week2h
WisdomTree pays $4M SEC fine for including fossil fuel, tobacco securities in ESG funds
Fund management company WisdomTree will pay $4 million to settle allegations by the Securities and Exchange Commission that ...
Bitnomial Exchange Preemptively Sues SEC Over Alleged Enforcement Conflict With CFTC
"This is about future contracts and who has jurisdiction over the trading of futures contracts," said Matthew F. Kluchenek, a ...
CoinDesk11d
Bitnomial Exchange Sues U.S. SEC, Alleging Regulatory Overreach
Sign up for State of Crypto, our weekly newsletter examining the intersection of cryptocurrency and government ...
What Is Kraken? How It Works, How It Stands Out, and Issues
Kraken is a popular cryptocurrency exchange that launched in 2013. The exchange is one of the top ten in the world by trading ...
BioVie Inc. Announces Pricing of Registered Direct Offering and Concurrent Private Placement Priced At-the-Market Under Nasdaq Rules
BioVie Inc. (NASDAQ: BIVI), (“BioVie” or the “Company”), a clinical-stage company developing innovative drug therapies to treat chronic debilitating conditions including liver disease and neurological ...
JD Supra22h
Zooming in on AI - #7: AI under financial regulations in the U.S., EU and U.K. - a comparative assessment of the current state of play: part 3
This is the final note in a three-part series on the regulation of artificial intelligence in the financial services sector in the United States, ...
Former CFTC Chair and SEC Commissioner Chart Election's Impact on Crypto and Capital Markets
"With respect to crypto, [Kamala Harris'] criminal prosecution background colors how she views the sector," said Paul S.