InfoBytes

Archive: Securities

• SEC awards $4.5 million in first-ever internal reporting whistleblower action

  May 29, 2019

• Online lending platform settles with SEC for $3 million

  April 23, 2019

• SEC reminds registrants of privacy notices and safeguard policies

  April 19, 2019

• DOJ settles with multinational corporation for $1.5 billion over RMBS

  April 17, 2019

• SEC issues no-action letter, permitting offering and selling of “tokens” without registration

  April 5, 2019

• Financial services firm settles SEC’s American Depositary Receipts allegations

  March 29, 2019

• SEC issues $50 million whistleblower award; third-highest ever

  March 28, 2019

• CFTC, SEC settle with foreign trading platform conducting Bitcoin transactions without proper registration

  March 13, 2019

• SEC: No fine for self-reported unregistered ICO

  February 22, 2019

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