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Securities and Exchange Commission

US
SEC

'Call of Duty' maker Activision Blizzard to pay $35 mln over US SEC charges LBCI11:25Activision Blizzard

Activision Blizzard will pay SEC $35 million to settle claims over its workplace misconduct disclosures Forbes11:30Activision Blizzard

SEC to lose XRP lawsuit over this argument? CoinGape03:56Ripple Crypto Business (US)

US SEC accepts LBC token is not a security, renews hope of Ripple’s win in XRP community FXstreet09:19Ripple Crypto Business (US)

Tesla’s SEC filing shows Bitcoin fair market value of $191 million Bitcoin.com22:33Tesla Crypto Bitcoin

Tesla reports BTC loss of $140M in 2022 CryptoDaily11:29Tesla Crypto Bitcoin

Despite SEC litigation, Ripple sold $226 million of XRP last quarter—and the token gained 21%… Fortune16:47XRP Ripple Crypto

Big News: Ripple Price is about to triple? This News Confirms… CryptoTicker03:09XRP Ripple Crypto

The SEC's first Regulation Best Interest action and the challenges of regulating by enforcement JD Supra17:56Reg BI Business (US)

SEC issues Risk Alert on Reg BI deficiencies identified during exams JD Supra10:34Reg BI Business (US)

Elon Musk faces SEC investigation over Tesla self-driving claims InsideEVs03:56Self-Driving Cars Elon Musk Tesla

SEC investigating Tesla's self-driving vehicle claims made by Elon Musk Washington Examiner11:43Self-Driving Cars Elon Musk Tesla

If Ripple wins vs. SEC, XRP price could more than double – Here’s why Bitcoinist.com08:30XRP Ripple Crypto

Will Coinbase relist XRP now that there is regulatory clarity? Bitcoinist.com07:35XRP Ripple Crypto

Tesla admits Justice Department is investigating Autopilot and ‘Full self-driving’ The Drive17:39DOJ Tesla Autos

Mergers + acquisitions: 5 Tips for navigating FCPA risks JD Supra11:52DOJ Tesla Autos

SEC re-proposes Rule to prohibit material conflicts of interest in securitizations JD Supra17:03Business (US) Economy

Everything old is new again: SEC re-proposes securitization conflicts of interest Rule JD Supra17:44Business (US) Economy

US SEC inquires investment advisers over crypto custody: Report CryptoPotato.com19:35Crypto Business (US) FTX

SEC probes investment advisers over digital asset custody CoinGeek13:05Crypto Business (US) FTX

Latest News

In the last 10 minutes

Activision Blizzard will pay £28.9million to settle misconduct handling and anti-whistleblower charges NME11:57

The SEC Incentive-Based Compensation Clawback Rule is now effective JD Supra11:56

In the last half-hour

Activision Blizzard settles SEC charges for $35 million CNN11:40

In the last hour

Activision Blizzard to pay $35 million for breaking SEC whistleblower rule Shacknews11:31

Activision Blizzard Will Pay SEC $35 Million To Settle Claims Over Its Workplace Misconduct Disclosures Forbes11:30

'Call of Duty' maker Activision Blizzard to pay $35 mln over US SEC charges LBCI11:25

Activision Blizzard to pay $35 million SEC penalty The Verge11:22

SEC Fines Activision $35M Over Whistleblower Claims Law36011:12

In the last 2 hours

Western District Of New York Holds That Desire To Raise Capital In Specific Offering Can Provide A Basis to Infer… JD Supra10:55

Activision Blizzard agrees to pay $35 million to settle workplace misconduct charges Video Games Chronicle10:54

'Call of Duty' maker Activision Blizzard to pay $35 million over US SEC charges Channel NewsAsia10:42

Activision Blizzard will pay $35 million to settle SEC charges over its handling of complaints Engadget10:42

SEC Issues Risk Alert on Reg BI Deficiencies Identified During Exams JD Supra10:34

Wall Street regulator may ease climate costs rule, WSJ reports Reuters10:23

Activision Blizzard pays SEC $35 million to settle probe CNBC10:17

In the last 4 hours

Activision to Pay $35 Million for Disclosure Control Failures BNN Bloomberg09:57

Activision Blizzard to Pay $35M to Settle Workplace Charges Hollywood Reporter09:39

Activision Blizzard to pay $35mln to settle workplace charges, US SEC says Channel NewsAsia09:21

Activision Blizzard settles U.S. SEC charges over handling of workplace complaints Reuters09:19

Activision Blizzard Paying $35 Million to Resolve SEC Investigation The Wall Street Journal09:14

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace… US Exchange Commission09:05

SEC is treating Ripple like a Ponzi scheme, law professor says Finance in Bold08:13

In the last 6 hours

SEC Considers Easing Climate-Disclosure Rules The Wall Street Journal07:41

World Quantum Growth Acquisition Corp. Announces Proposed Sponsor Contributions to Trust Account Business Wire (Press Release)06:48

Ripple says SEC lawsuit could end in weeks — don’t hold your breath Protos06:40

In the last 8 hours

SEC asks hedge funds to review employees' phone use HedgeWeek06:01

FOX’s Charles Gasparino Questions Expectations of Buyers of Ripple’s XRP Sales The Crypto Basic04:43

Earlier today

SEC To Lose XRP Lawsuit Over This Argument? CoinGape03:56

Charles Gasparino Asks 'Serious Question' on XRP's Security Status U.Today03:28

Yesterday

US Judge Dismisses Customer Lawsuit Against Crypto Exchange Coinbase Bitcoin.com23:33 2-Feb-23

SEC Flags Off-Book Communications At Ratings Agencies Law36021:28 2-Feb-23

Roivant Sciences Announces Pricing of Upsized Public Offering of Common Shares GlobeNewswire (Press Release)21:16 2-Feb-23

Trader Is Charged in Alleged $110 Million Crypto Manipulation Scheme The Wall Street Journal18:01 2-Feb-23

The SEC's First Regulation Best Interest Action and the Challenges of Regulating By Enforcement JD Supra17:56 2-Feb-23

Splunk Cuts Its Workforce About 4 Percent CRN17:24 2-Feb-23

SEC Says Adviser Cherry-Picked Wins For Girlfriend, Self Law36016:54 2-Feb-23

Ripple’s On-Demand Liquidity Soars To Record Highs As XRP Army Eager To Receive Verdict On SEC… ZyCrypto16:29 2-Feb-23

Castor Maritime Inc. Announces Record Date for the Proposed Spin-Off of its Tanker Fleet GlobeNewswire (Press Release)16:21 2-Feb-23

Two Harbors Investment Corp. Announces Public Offering of Common Stock Business Wire (Press Release)16:21 2-Feb-23

Why Ex-SEC Official John Reed Stark Is Wrong About Crypto Nasdaq13:07 2-Feb-23

SEC employee phone probe snags Steve Cohen, Ken Griffin firms: report New York Post12:56 2-Feb-23

2023 Layoffs: Okta Slashes 300 Jobs As DraftKings, FedEx Cut Staff Forbes12:39 2-Feb-23

Money Market Mutual Funds: Pandemic Revealed Unresolved Vulnerabilities U.S. Government Accountability Office (Press Release)12:34 2-Feb-23

Financial Services GOP Points Out: SEC Not Reauthorized Since 2015 CoinEdition11:28 2-Feb-23

SEC asks big hedge funds for employee phone review - Bloomberg News Reuters10:31 2-Feb-23

SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations US Exchange Commission10:22 2-Feb-23

Vistagen Announces Closing of Pherin Pharmaceuticals Acquisition Business Wire (Press Release)09:12 2-Feb-23

Will Coinbase Relist XRP Now That There Is Regulatory Clarity? Bitcoinist.com07:35 2-Feb-23

SEC Issues New Warning on Reg BI Compliance Nasdaq06:56 2-Feb-23

Finance of America Issues Statement on the Proposed Sale of Incenter’s Title Insurance Business Business Wire (Press Release)06:30 2-Feb-23

Judge Asks SEC to “Take Responsibility” for Not Providing Clarity for Crypto The Crypto Basic04:54 2-Feb-23

Shell Accused of Greenwashing by Climate Group in SEC Claim Insurance Journal03:34 2-Feb-23

Ripple Ally Advocates for Coinbase Relisting XRP, Here's Its Argument U.Today03:23 2-Feb-23

US SEC Running Without Congress Authorization? CoinGape03:21 2-Feb-23

SEC issues warning vs Ponzi scams Inquirer.Net03:20 2-Feb-23

Will Coinbase Relist XRP as Judge Declares Secondary Market Sales Non-Securities? The Crypto Basic01:50 2-Feb-23

Regulatory action against Mango Markets exploiter is a win for DeFi — Moody’s Cointelegraph00:27 2-Feb-23

In the last 7 days

SEC Sues CEO For Fleecing Investors Via Penny Stock Sales Law36022:44 1-Feb-23

Hub Hires: Burns, Mintz, Nutter, SEC, Withers Law36018:20 1-Feb-23

Aesther Healthcare Acquisition Corp (NASDAQ: AEHA) Announces Measures regarding Excise Tax GlobeNewswire (Press Release)17:47 1-Feb-23

Everything Old Is New Again: SEC Re-Proposes Securitization Conflicts of Interest Rule JD Supra17:44 1-Feb-23

SEC Re-Proposes Rule to Prohibit Material Conflicts of Interest in Securitizations JD Supra17:03 1-Feb-23

Despite SEC litigation, Ripple sold $226 million of XRP last quarter—and the token gained 21%… Fortune16:47 1-Feb-23

Roivant Sciences Announces Proposed Public Offering of Common Shares GlobeNewswire (Press Release)16:15 1-Feb-23

Motorsport Games Converts All Remaining Debt in Additional Debt-for-Equity Exchange with Motorsport Network GlobeNewswire (Press Release)15:31 1-Feb-23

Brokerages need to update tech systems to show Reg BI work to SEC InvestmentNews.com14:54 1-Feb-23

2023 SEC Rulemaking Priorities for Investment Advisers JD Supra14:40 1-Feb-23

SEC targets ‘dark magic’ in fixed-income pricing with Bloomberg fine Risk.net14:38 1-Feb-23

JBS is accused of misleading investors with suspicious green bonds Mongabay14:20 1-Feb-23

Public Companies Update – January One-Minute Reads JD Supra14:20 1-Feb-23

SEC Delays Enforcement of Rule 15c2-11 Compliance JD Supra14:20 1-Feb-23

SEC Re-Proposes Conflict of Interest Rule for Asset-Backed Securities JD Supra14:10 1-Feb-23

NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading Rules BNN Bloomberg13:57 1-Feb-23

U.S. Regulators File Complaints for Digital Asset Market Manipulation and Misappropriation JD Supra13:29 1-Feb-23

Wilson Sonsini Expands DC Group With SEC Atty Law36011:42 1-Feb-23

Tesla Reports BTC Loss Of $140M In 2022 CryptoDaily11:29 1-Feb-23

Why Venture Capitalists Won’t Be Held Accountable for Investing in FTX Nasdaq11:27 1-Feb-23

How Long Does It Usually Take for SEC Rules To Be Published in the Federal Register? JD Supra11:16 1-Feb-23

Aurox Launches Crowdfunding Campaign on tZERO Markets Platform Business Wire (Press Release)11:11 1-Feb-23

Energy giant Shell misleading US authorities, investors and the public by labelling fossil fuels as “renewable” Global Witness10:50 1-Feb-23

Shell hit by 'groundbreaking greenwash complaint' to US watchdog over renewables Recharge Magazine10:40 1-Feb-23

SEC Fails To Prohibit All LBC Sales CryptoDaily09:57 1-Feb-23

LBC Token Soars 80% as SEC Says Secondary Token Sales Are Not Securities Decrypt09:44 1-Feb-23

Tesla bleeds over $140 million after Bitcoin bet goes sour Todayq09:40 1-Feb-23

XRP Price Like a Coiled Spring in Anticipation of SEC Verdict BeInCrypto09:26 1-Feb-23

‘Professional Crypto Traders Have Never Heard Of LBC’: John Deaton CoinEdition09:22 1-Feb-23

Shell Accused of Greenwashing by Climate Group in Claim to SEC BNN Bloomberg08:41 1-Feb-23

If Ripple Wins Vs. SEC, XRP Price Could More Than Double – Here’s Why Bitcoinist.com08:30 1-Feb-23

Novo Nordisk files annual report with the SEC GlobeNewswire (Press Release)08:25 1-Feb-23

Akerna Regains Compliance with NASDAQ Continued Listing Requirements GlobeNewswire (Press Release)08:05 1-Feb-23

Bitcoin Crash: Tesla Suffers $140 Million BTC Loss, SEC Filing Shows Bitcoinist.com06:08 1-Feb-23

Deaton Says SEC Could Sue Elon Musk if He Allows Only DOGE Payments on Twitter The Crypto Basic05:18 1-Feb-23

Here's How XRP Price Could Act If Ripple Wins Against SEC, Lawyer Assumes U.Today04:28 1-Feb-23

Big News: Ripple Price is about to TRIPLE? This News Confirms… CryptoTicker03:09 1-Feb-23

The Philippines SEC Expands Control Over Cryptocurrencies And Online Scammers International Business Times - AU Edition00:39 1-Feb-23

The Philippines SEC Expands Control Over Crypto And Online Scammers IBTimes (US)23:22 31-Jan-23

Tesla’s SEC Filing Shows Bitcoin Fair Market Value of $191 Million Bitcoin.com22:33 31-Jan-23

SEC's Crenshaw Wants To Beef Up Private Market Disclosures Law36022:17 31-Jan-23

Tesla Details $140 Million Bitcoin Loss in SEC Filing Decrypt21:33 31-Jan-23

Exclusive: Chamber Of Commerce Pledges Lawsuit Over 'Outrageous' Environmental Rule The Daily Caller19:16 31-Jan-23

Supreme Court voids SEC rules mandating accreditation of CPAs Rappler19:10 31-Jan-23

Metaverse, Blockchain & Digital Assets: 10 Legal Challenges for Companies in 2023 JD Supra18:49 31-Jan-23

SEC Issues Risk Alert on Broker/Dealer Conflicts of Interest Plansponsor.com17:46 31-Jan-23

Tesla Admits Justice Department Is Investigating Autopilot and ‘Full Self-Driving’ The Drive17:39 31-Jan-23

Inside the mind of the SEC InvestmentNews.com16:51 31-Jan-23

United Parcel Service (UPS) Q4 2022 Earnings Call Transcript Nasdaq15:58 31-Jan-23

Dogecoin (DOGE) Payments on Twitter Could Get Elon Musk in Trouble in SEC, XRP-Friendly… U.Today15:24 31-Jan-23

SEC examiners flag deficiencies in Reg BI compliance Compliance Week15:18 31-Jan-23

SEC Enforcement in Financial Reporting and Disclosure: 2022 Year-End Update JD Supra14:55 31-Jan-23

SEC Warns Dually Registered Advisors on Reg BI Disclosures Barron's Online14:30 31-Jan-23

Preparing for the Mandatory Universal Proxy Card and Its Potential Impacts on Shareholder Activism and Proxy Contests JD Supra14:25 31-Jan-23

Registration Exemption for Merger and Acquisition Brokers JD Supra14:04 31-Jan-23

Regulators Seek Crypto Blood, They Shatter Annual Record With 58 Legal Actions Bitcoinist.com14:02 31-Jan-23

Israeli Citizen Wants SEC Securities Fraud Suit Tossed Law36013:38 31-Jan-23

A New Federal Exemption for M&A Brokers JD Supra13:03 31-Jan-23

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3 Feb 11:57

Securities and Exchange Commission News

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