InfoBytes

Archive: Securities

• 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

• NYDFS fines London-based bank $40 million for alleged FX violations

  February 1, 2019

• Bank settles SEC allegations of mishandled American Depositary Receipts

  January 4, 2019

• Global investment bank settles SEC allegations of mishandled American Depositary Receipts

  December 20, 2018

• Two ICO issuers settle SEC charges for securities offering registration violations

  November 28, 2018

• Colorado Division of Securities issues cease-and-desist orders against ICOs

  November 28, 2018

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