InfoBytes

Archive: Securities

• SEC files brief in its Supreme Court appeal to reverse 5th Circuit ruling against use of adjudication powers and ALJs

  September 1, 2023

• SEC conducts its first-ever NFT enforcement again

  September 1, 2023

• SEC awards whistleblower more than $18 million

  September 1, 2023

• SEC charges broker-dealer with failure to file suspicious activity reports

  September 1, 2023

• SEC charges fintech investment adviser for misleading advertising

  August 25, 2023

• SEC awards whistleblowers more than $104 million

  August 11, 2023

• SEC charges companies, founder for operating an unregistered exchange

  August 4, 2023

• ETF, founder to pay SEC $4.4M for misleading trustees

  August 4, 2023

• SEC proposes rules for addressing conflicts of interest raised by predictive data analytics

  July 28, 2023

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