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SEC

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  • Sunday, 17 January, 2021
    Rana Foroohar
    Wall Street’s new sheriff is on a mission

    Joe Biden’s likely choice for Securities and Exchange Commission chair will shake things up

  • Monday, 11 January, 2021
    Markets InsightCarl Levin
    Time to stop trading conflicts that cost investors billions

    The incoming US administration should end payments for routing customer orders

  • Thursday, 31 December, 2020
    Robinhood
    SEC officials were absent in Robinhood settlement

    Outgoing chairman and his successor both have ties to employees of the trading app

  • Tuesday, 29 December, 2020
    LexCryptocurrencies
    Cryptocurrencies/SEC: Ripple out Premium

    The payments company’s valuation was tied to XRP, a digital token whose price was always hard to justify

  • Thursday, 24 December, 2020
    FT Alphaville
    Ripple: The SEC filing highlights

    How a crypto company became its own central bank.

  • Wednesday, 23 December, 2020
    FT AlphavilleIzabella Kaminska
    Ripple: Davos man no longer

    How the SEC’s case against Ripple Labs knocks crypto’s establishment dreams.

  • Tuesday, 22 December, 2020
    US equities
    US gives green light to low-cost IPO alternative

    SEC ruling allows companies to raise money in a direct listing on the New York Stock Exchange

  • Tuesday, 22 December, 2020
    Ripple Labs Inc
    Ripple is being sued by the SEC

    “It’s not just Grinch-worthy, it’s shocking. It’s an attack on the entire crypto industry and American innovation” (!)

  • Friday, 18 December, 2020
    Due Diligence
    Robinhood: playing for keeps Premium

    Retail trading app agreed has seen its popularity skyrocket but has found itself in hot water

  • Promoted Content
  • Wednesday, 16 December, 2020
    Luckin Coffee Inc
    Luckin Coffee to pay $180m in accounting fraud settlement

    US regulator hits delisted Chinese coffee chain with penalty over fabricated accounts

  • Wednesday, 16 December, 2020
    US financial regulation
    US cuts anti-corruption disclosures for oil and mining groups

    SEC rule on foreign government payments falls short of UK, EU and Canadian standards

  • Friday, 11 December, 2020
    Jeffrey Epstein
    The SEC probed Epstein’s dealings after his death

    The US securities regulator sought documents on Epstein’s brokerage and investment advisory activities.

  • Wednesday, 9 December, 2020
    US financial regulation
    US exchanges face added pressure on data fees under SEC clampdown

    Regulator in bipartisan agreement to toughen rules and introduce competition

  • Tuesday, 8 December, 2020
    BlueCrest Capital Management UK LLP
    BlueCrest to return $170m to former investors after SEC settlement

    US regulator says UK investment firm misled clients and prioritised managing founders’ money

  • Friday, 4 December, 2020
    The Cheesecake Factory Inc.
    SEC charges Cheesecake Factory for misleading Covid-19 disclosures

    US regulator says restaurant chain claimed to be ‘operating sustainably’ while it was losing cash

  • Friday, 4 December, 2020
    Workplace diversity & equality
    Asset management industry ‘not doing a good job’ on diversity, says SEC chief

    Outgoing chairman Jay Clayton calls for change to share economic benefits more equally

  • Saturday, 21 November, 2020
    Institutional Shareholder Services Inc
    Deutsche Börse to back ISS in lawsuit against SEC

    Proxy adviser says its new owner understands need for legal action against US financial regulator

  • Wednesday, 18 November, 2020
    Lex
    Lex Midweek Letter: rite stuff from Airbnb and DoorDash Premium

    IPO filings offer chance for start-ups to put their case and for investors to uncover the reality

  • Wednesday, 18 November, 2020
    ETF HubThe latest news on ETFs
    US regulators issue stern warning on volatility ETPs

    SEC’s guidance follows sanction of five companies that have been ordered to repay $3m to investors

  • Monday, 16 November, 2020
    SEC chair Jay Clayton to step down by end of year

    Veteran Wall Street lawyer has overseen deregulatory push at agency under Trump

  • Friday, 13 November, 2020
    Wells Fargo
    Former Wells Fargo chief pays $2.5m in SEC settlement

    Ex-bank boss accused of misleading investors about retail operations at the centre of fake accounts scandal

  • Thursday, 29 October, 2020
    ETF HubThe latest news on ETFs
    SEC decision on leveraged ETFs sparks concern for retail investors

    SEC commissioners reveal sharp disagreements on move to abandon proposed controls

  • Wednesday, 28 October, 2020
    ETF HubThe latest news on ETFs
    US SEC opens door to more leveraged ETFs

    Pre-clearance requirement removed for exchange traded funds using up to two times leverage

  • Tuesday, 20 October, 2020
    ETF HubThe latest news on ETFs
    SEC plan to cut fund disclosures faces almost unanimous opposition

    Higher threshold for reporting stock holdings would benefit activist investors, US markets regulator told

  • Friday, 16 October, 2020
    Environment
    Recycler Loop subpoenaed by SEC after short-seller allegations

    Hindenburg Research accuses company of touting technology that is a ‘fiction’

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