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Tag Archives: SEC

SEC announced insider trading charges against three software engineers employed at Twilio

Twilio

Three Twilio company employees along with family and friends charged in $1 million scheme. The Securities and Exchange Commission today announced insider trading charges against three software engineers employed at Twilio

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SEC Approves BSTX as Newest National Securities Exchange Facility

BOX Exchange

SEC issued an order approving the creation of BSTX as a trading facility of BOX Exchange. BSTX, a joint venture of tZERO Group, Inc., and BOX Digital Markets LLC will be the first fully-automated, price/time priority execution exchange for trading securities that is both regulated by the SEC and leverages private blockchain technologies.

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SEC Rejected the VanEck Spot Bitcoin ETF

SEC Securities and Exchange Commission VANECK

The Securities and Exchange Commission (SEC) rejected the VanEck spot Bitcoin ETF (VanEck Bitcoin Trust) as the company failed to show it is consistent with rules

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Registration of Two Digital Tokens Halted

Securities and Exchange Commission suspended trading cherry-picking

SEC instituted proceedings against American CryptoFed DAO LLC, a Wyoming-based organization, halting the effectiveness of the company’s registration of two digital tokens as securities. 

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SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings

SEC Compliance

SEC charged three individuals and one issuer with conducting a fraudulent scheme to sell nearly $2 million of unregistered securities through two crowdfunding offerings.

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Prepared Remarks of Gary Gensler, Chair of the Securities and Exchange Commission, Before the American Bar Association Derivatives and Futures Law Committee Virtual Mid-Year Program

Gary Gensler SEC Chair

Thank you for the kind introduction. It’s good to be back with the American Bar Association’s Derivatives and Futures Law Committee.

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SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze

Securities and Exchange Commission suspended trading cherry-picking

SEC announced that it has obtained an asset freeze and other emergency relief, and filed fraud charges, against a Miami-based investment professional and two investment firms for engaging in an alleged “cherry-picking” scheme in which they channeled millions of dollars in trading profits to preferred accounts.

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SEC Obtains Emergency Asset Freeze, Charges California Trader with Posting False Stock Tweets

ARCS Arcis Resources Corporation

According to the SEC's complaint, which was filed under seal in federal court in the Central District of California on March 2, 2021 and unsealed today, Andrew L. Fassari used the Twitter handle @OCMillionaire to tweet false statements about Arcis Resources Corporation (ARCS)

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SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity

Securities and Exchange Commission suspended trading cherry-picking

As part of its continuing effort to respond to potential attempts to exploit investors during the recent market volatility, the Securities and Exchange Commission today suspended trading in the securities of 15 companies because of questionable trading and social media activity

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SEC Suspends Trading in Inactive Issuer Touted SpectraScience on Social Media

SpectraScience Inc SCIE

The Securities and Exchange Commission today suspended trading in an inactive company amid questions surrounding online promotion of the company’s securities and recent trading activity.

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