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Two Securities and Exchange Commission lawyers stepped down this month after a federal judge sanctioned and sharply rebuked the Wall Street regulator for "gross abuse" of power in a crypto case.
April 22 -
A federal judge in New York ruled that the Securities and Exchange Commission can proceed with its lawsuit against the cryptocurrency-trading platform Coinbase, claiming the company failed to register as a securities business.
March 27 -
With dominant industry personalities suddenly swept offstage, the evolving rules and regulations that will dictate the industry's future will be in the spotlight.
February 13Unicoin -
The cybersecurity leaders argued in a recent court briefing that the SEC's lawsuit against the SolarWinds CISO could harm the profession at large.
February 11 -
The Commodity Futures Trading Commission privately authorized sending subpoenas to Goldman for information about fees charged for some futures block trades, according to people familiar with the matter.
February 8 -
When Gensler arrived at the SEC in 2021, he took on just about everything. Rules for stock-market trading, Treasury-security clearing, executive-pay disclosures, private equity, crypto, short-selling, climate-change risks, even AI: nothing seemed off limits. But now, three years later, to Big Finance, the verdict is clear: Gary Gensler overreached.
January 19 -
Revenue from the fixed-income trading business was little changed from a year earlier, disappointing analysts who had expected an increase.
January 16 -
A nonprosecution agreement with federal prosecutors in Manhattan allows the bank to avoid criminal charges. Its former senior-ranking equities executive Pawan Passi has entered into a deferred-prosecution agreement over his handling of confidential information.
January 12 -
The investigation into highly sensitive block trades — in which banks typically help clients buy or sell chunks of stock large enough to move prices — has focused in part on whether employees shared or misused information about impending transactions in ways that broke securities laws.
January 11 -
The Investment Company Institute predicted a dire situation for bank loan funds should the SEC finalize an amendment that would reclassify many of these funds as illiquid.
December 22