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...The SEC, Finra and the Sifma, the industry lobby group for brokers, declined to comment....
...., March 18, 2024 — The Securities and Exchange Commission today announced settled charges against two investment advisers, Delphia (USA) Inc. and Global Predictions Inc., for making false and misleading...
Plus, SEC puts Uniswap on notice of a possible lawsuit
...Under chair Gary Gensler, the SEC has taken an aggressive approach to crypto, an industry he has defined as a “Wild West”....
...One of the nay votes was from West Virginia’s Alexander Mooney, who has received $2.4mn in support from the Club for Growth and the Protect Freedom PAC for his senate bid....
...According to the SEC’s complaint, Bechtolsheim misappropriated material nonpublic information regarding the impending acquisition of Acacia Communications, Inc., a manufacturer of highspeed optical interconnect...
...The SEC should not impose additional disclosure burdens, much less ban any leveraged ETPs or ETFs, Dalia Blass, former director of the SEC’s Division of Investment Management, told Ignites....
...And you know what, a lot of good people at the SEC agree with me. They won’t say it publicly....
...He’s backed influential rightwing group Club for Growth and is the main donor behind Protect Freedom PAC, a Republican fundraising super-political action committee aligned with Senator Rand Paul....
...Skechers agreed to pay a $1.25 million civil penalty to settle the SEC’s charges....
...Weiner packed in a record-breaking amount of Domino’s “food items” as perks during his first full year on the job — $7,322 of them to be precise (SEC link here): Naturally, we awaited this year’s proxy...
...SEC Chair Gary Gensler tried to split the difference in a statement....
...The positive results follow the SEC’s approval of several spot bitcoin ETFs, the majority of which use Coinbase as a custodian....
...Soundbite of the week: Physician, heal thyself While Ripple Labs was launching its stablecoin, the company was still battling the SEC over its hostile stance towards crypto....
...Future Forward, a pro-Biden super Pac has already booked more than $130mn in ads this year, according to AdImpact data. Maga Inc, a pro-Trump super Pac, has booked just $6.5mn....
...A SolarWinds spokesperson said the company was “disappointed by the SEC’s unfounded charges”....
...“The probability that this goes to zero is way less, particularly after the SEC approving these ETFs, which takes away some of the downside risk,” he said....
...“We have long been an advocate of transparency in short selling and have been an active supporter of the SEC’s rules and enforcement efforts designed to monitor and prohibit naked short selling.”...
...The world’s largest EV maker had just over 140,000 employees, up from 48,000 in 2019, according to its latest SEC filing....
...The court is deliberating on another case, Relentless Inc vs Department of Commerce, that seeks to overturn a 40-year-old legal doctrine that says courts should generally defer to agencies’ interpretation...
...MAGA Inc, the super Pac backing the former president, recently launched ads in New Hampshire attacking her for reversing her position on a proposed gas tax years ago — a claim her campaign has disputed....
...For a second quarter in a row, Berkshire also disclosed it had omitted at least one investment from the quarterly report, noting it had sought confidential treatment from the SEC....
Fidelity halves the proposed going rate as speculation mounts that SEC approval is near
...Hashdex, a Brazilian fund manager, had aimed to convert an existing futures product into a spot bitcoin ETF but was unable to do so on Thursday as the SEC continued to review the paperwork for its conversion...
...Brooge, which did not admit or deny the SEC’s charges, agreed to pay a $5mn penalty....
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