InfoBytes

Archive: Securities

• SEC issues two separate whistleblower awards totaling over $4.3 million

  November 11, 2020

• SEC issues two separate whistleblower awards totaling over $38 million

  November 2, 2020

• Whistleblower receives record $114 million award

  October 27, 2020

• SEC issues $800,000 whistleblower award after reconsideration

  October 23, 2020

• Issuer pays $5 million penalty for unregistered digital offering

  October 23, 2020

• CFTC charges cryptocurrency derivatives platform and owners with AML violations

  October 7, 2020

• SEC has “record-setting” whistleblower fiscal year

  October 2, 2020

• SEC settles with ratings agency for $2 million over inadequate policies

  October 1, 2020

• CFTC reaches $4.5 million settlement with bank over lost audio files

  October 1, 2020

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