Tag: SEC

SEC's Move Towards Enhanced Short Selling Transparency

Hedge Funds Must Now Share Names of Shorted Stocks.

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A pretzel-shop employee orchestrates a $1 million fraud...

All of the money was invested by the Auntie Anne's employee in Tesla, Nvidia, GameStop, AMC, and other stocks.

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The SEC Charges 11 Wall Street Firms with Widespread Re...

Firms admit misconduct and agree to pay $289 million in fines.

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Politicians have been lobbied by hedge funds to oppose ...

Private equity, venture capital, and hedge fund representatives have lobbied lawmakers to obstruct new proposed SEC rules, accordi...

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SEC Asks Coinbase CEO to Halt Trading, Except Bitcoin

Request would have signaled "the end of the crypto industry in the US," according to Brian Armstrong.

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SEC Charges Investment Advisor with Naked Short Selling

SEC charges investment advisor for engaging in a fraudulent naked short selling scheme, manipulating stock prices and evading trad...

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SEC Commissioner Hester Peirce faces calls for resignat...

A closer look at the controversial SEC commissioner Hester Peirce and the 5,000 investors calling for her resignation

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Breaking news Elon Musk is Building a Case against the...

In a tweet, Elon Musk said he is building a case against the SEC

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The SEC has the power and obligation to suspend Dark Po...

Gary Gensler reported that 90-95% of retail orders aren't processed through the lit exchange.

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E*TRADE violations and fines

Etrade was one of the platforms that placed restrictions on AMC and Gamestop.

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BREAKING NEWS THE SEC HAS APPROVED THE TRANSPAPRENCY RE...

The Securities and Exchange Commission (SEC) vote on whether to increase hedge fund disclosures has been approved Reportedly

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What is Payment for order flow and how to avoid it

A brokerage firm is compensated and receives benefits for directing orders to different parties.

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