The Securities and Exchange Commission has expressed fresh concerns over Nigerians’ appetite for investing in Ponzi schemes ...

The Securities and Exchange Commission dropped its case against cryptocurrency exchange Binance, just the latest in a string ...

In response to a request for no-action submitted by the law firm Latham & Watkins on March 12, 2025 (No-Action Letter), the ...

Brokerage firm Canaccord Genuity Corp. violated securities rules by failing to meet its gatekeeper obligations when it ignored red flags and executed trades in U.S. over-the-counter (OTC) penny stocks ...

The SEC's recent settlements and dismissals of high-profile securities violations cases against cryptocurrency companies ...

The SEC clarified that crypto must follow existing custody and disclosure rules. Broker-dealers must treat tokenized ...

In a fast-evolving regulatory landscape, private fund managers are facing heightened scrutiny over their cybersecurity practices. The SEC Division of Examinations' 2025 Exam Priorities, released ...

These companies have sponsors and directors who have failed to jointly hold at least 30% of the company’s paid-up capital ...

The Securities and Exchange Commission reached a settlement with ... up to 18 months after their terms end. The Ripple (XRP) logo seen displayed on a smartphone. Rafael Henrique/SOPA Images ...

Separately, the U.S. Securities and Exchange Commission had begun scrutinizing ... the company had inadequate know-your-customer compliance that is required of firms registered with the SEC ...

The U.S. Securities and Exchange Commission ... comments regarding the proposal’s compliance with regulatory requirements. "In particular, the Commission seeks comment on whether the proposal ...