Industry News
News items posted here are direct RSS feeds from related industry releases. These items are not published or created by NAFER.
- Statement Regarding In the Matter of American CryptoFed DAO LLCon June 7, 2023
Statement Regarding In the Matter of American CryptoFed DAO LLC Commissioners Hester M. Peirce and Mark T. Uyeda June 7, 2023
- SEC Adopts Amendments to Remove References to Credit Ratings From Regulation Mon June 7, 2023
The Securities and Exchange Commission today adopted rule changes to remove and replace references to credit ratings from existing exceptions provided in Rule 101 and Rule 102 of Regulation M, a set of rules that prohibits activities that could…
- SEC Adopts Rules to Prevent Fraud in Connection with Security-Based Swaps Transactions and Prevent Undue Influence over CCOson June 7, 2023
The Securities and Exchange Commission today adopted rules to prevent fraud, manipulation, and deception in connection with security-based swap transactions and to prevent undue influence over the chief compliance officer (CCO) of security-based swap…
- Statement on Removing References of Credit Ratings from Regulation Mon June 7, 2023
Statement on Removing References of Credit Ratings from Regulation M Gary Gensler, Chair, Securities and Exchange Commission June 7, 2023
- Statement on the Removal of References to Credit Ratings from Regulation Mon June 7, 2023
Statement on the Removal of References to Credit Ratings from Regulation M Commissioner Caroline A. Crenshaw June 7, 2023
- Statement on the Adoption of Rule 939A Amendments to Regulation Mon June 7, 2023
Statement on the Adoption of Rule 939A Amendments to Regulation M Commissioner Mark T. Uyeda June 7, 2023
- Ending SEC Reliance on Credit Ratingson June 7, 2023
Ending SEC Reliance on Credit Ratings Commissioner Jaime Lizárraga June 7, 2023
- Statement on Rule 9j-1 and Rule 15fh-4(c)on June 7, 2023
Statement on Rule 9j-1 and Rule 15fh-4(c) Gary Gensler. Chair, Securities and Exchange Commission June 7, 2023
- Statement on the Adoption of Rules 9J-1 and 15fh-4(c)on June 7, 2023
Statement on the Adoption of Rules 9J-1 and 15fh-4(c) Commissioner Caroline A. Crenshaw June 7, 2023
- Statement on Rules Regarding Prohibitions Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps and Against Undue Influence over Chief Compliance Officerson June 7, 2023
Statement on Rules Regarding Prohibitions Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps and Against Undue Influence over Chief Compliance Officers Commissioner Mark T. Uyeda June 7, 2023
- Preventing Fraud and Manipulation in the Swaps Market and Bolstering Gatekeeperson June 7, 2023
Preventing Fraud and Manipulation in the Swaps Market and Bolstering Gatekeepers Commissioner Jaime Lizárraga June 7, 2023
- SEC Seeks Emergency Relief to Ensure Binance.US Customers’ Assets are Protectedon June 6, 2023
The Securities and Exchange Commission today filed an emergency action application seeking a temporary restraining order freezing assets, directing defendants to repatriate assets held for the benefit of customers of the Binance.US crypto trading…
- SEC Charges Coinbase for Operating as an Unregistered Securities Exchange, Broker, and Clearing Agencyon June 6, 2023
The Securities and Exchange Commission today charged Coinbase, Inc. with operating its crypto asset trading platform as an unregistered national securities exchange, broker, and clearing agency. The SEC also charged Coinbase for failing to register the…
- SEC Files 13 Charges Against Binance Entities and Founder Changpeng Zhaoon June 5, 2023
The Securities and Exchange Commission today charged Binance Holdings Ltd. (“Binance”), which operates the largest crypto asset trading platform in the world, Binance.com; U.S.-based affiliate, BAM Trading Services Inc. (“BAM Trading”), which, together…
- Small Business Advisory Committee June Meeting to Focus on Capital Raising and Reducing Funding Gaps for Underrepresented Founderson June 2, 2023
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Wednesday, June 14. The Committee will start the morning session by hearing from its members about marketplace…
- Second Commission Statement Relating to Certain Administrative Adjudicationson June 2, 2023
Second Commission Statement Relating to Certain Administrative Adjudications The Commission June 2, 2023
- Commission Statement on the Passing of Former Chairman Harvey Pitton May 31, 2023
Commission Statement on the Passing of Former Chairman Harvey Pitt The Commission May 31, 2023
- Former Wells Fargo Senior Executive Carrie Tolstedt Agrees to Settle SEC Fraud Charges for Misleading Investors About Abusive Sales Practices to Inflate a Key Performance Metricon May 30, 2023
The Securities and Exchange Commission today announced its settlement with the former head of Wells Fargo & Co.’s Community Bank, Carrie L. Tolstedt, in which she has agreed to pay a $3 million penalty stemming from charges brought in 2020 for her…
- Former Coinbase Manager and His Brother Agree to Settle Insider Trading Charges Relating to Crypto Asset Securitieson May 30, 2023
The Securities and Exchange Commission today announced that former Coinbase product manager Ishan Wahi and his brother, Nikhil Wahi, agreed to settle charges that they engaged in insider trading through a scheme to trade ahead of multiple announcements…
- “Bear in the Woods” Remarks before the Investment Company Instituteon May 25, 2023
“Bear in the Woods” Remarks before the Investment Company Institute Gary Gensler Chair, Securities and Exchange Commission May 25, 2023