The SEC has charged RSE Markets Inc. with operating an unregistered exchange, and the company has agreed to pay a $350,000 penalty to cease and desist from violating the Securities Exchange Act.
The SEC announced that OCC will undertake remedial efforts and pay a $17 million penalty to settle charges of failing to comply with its SEC-approved Stress Testing and Clearing Fund Methodology rule.
The SEC has proposed a rule which would revise regulations of the Privacy Act to provide greater clarity, transparency, and update language for the public's access to their records maintained by the Commission.
The Securities and Exchange Commission (SEC) publishes official documents on its website, SEC.gov, to provide information about the securities market.
The SEC has charged Terraform Labs PTE Ltd and Do Hyeong Kwon with orchestrating a multi-billion dollar crypto asset securities fraud involving an algorithmic stablecoin and other crypto asset securities.
The SEC charged former NBA player Paul Pierce with failing to disclose that he was paid $244,000 for promoting the crypto asset EthereumMax and making false and misleading statements on social media about the same asset.
The SEC has charged Pratik Patel with illegally disseminating false rumors to generate over $1 million in illicit trading profits.