His firm was a big promoter of Ether and Ethereum, and those are some of the circumstances that caused us to request the inspector general investigation,” Tristan Leavitt, the president of Empower ...

“In a way, it feels like this SEC throwing down a gauntlet for future chair Atkins,” said Jill Fisch, a law professor at the University of Pennsylvania.

A California judge threw out one of Kraken’s key defenses in a suit launched by the SEC which argued the agency can’t ...

Paul Grewal noted that this case is just one of several cases in which these issues will be front and ... in its petition that the existing securities law framework failed to account for ...

Quick Take: The staff of the Division of Investment Management (Staff) of the SEC recently issued responses ... such as state law or the fund’s charter or by-laws, would require shareholder ...

Now, some states, nonprofits and industry participants have begun to proactively file lawsuits against the SEC seeking injunctive and other relief relating to a host of securities-related issues.

Robinhood has agreed to a $45 million settlement with the U.S. Securities and Exchange Commission ... for at least 392 million transactions. Issues concerning timely reporting of suspicious ...

The Staff of the US Securities and Exchange Commission has issued FAQs regarding recent amendments to Rule 35d-1 (often referred to as the Names Rule) under the Investment Company Act of 1940.