#sec#

2023年8月23日，美国证券交易委员会（SEC）以3比2的通过了《证券交易法》第15b9-1条的修正案。简言之，自营交易经纪商无需通过获得美国金融业监管局（FINRA）会员资格的豁免范围被大幅缩小。 如今，几乎所有从事场外证券交易（OTC）的自营经纪商都需接受FINRA的监管，FINRA是证券场外交易市场的主要监管机构，也是目前唯一注册的国家证券协会。 SEC重拳出击自营交易经纪行业，带来了哪些影响？ SEC表示，之所以扩大FINRA的职权范围，缩减之前符合豁免规定的自营公司范围，并要求相关经纪商汇报交易后活动的主要原因是因为自营交易公司的监管不够透明。 的确，Fazzaco在2024年1月

The Securities and Exchange Commission (SEC) has obtained a final judgment against stock promoter Carl Smith for misrepresentations he made to investors while raising funds for Nanobeak Biotech Inc. The judgment was issued by the U.S. District Court for the Southern District of New York earlier in J

Photo: financialbrokerage Nigeria has the largest economy in Africa. Moreover, it is the most populous country on the continent. Thus, it makes sense to learn more about the Securities and Exchange Commission of Nigeria. Interestingly, the origin of the Securities and Exchange Commission dates back

Photo: FM Since the SEC hit Ripple Labs with the charges of selling unregistered securities, the cryptocurrency community has been wondering what does this move mean. Some argued it was a huge sign that US regulators are set to ramp up oversight of the cryptocurrency space as Bitcoin surges to uncha

Photo: Cointelegraph Thai investors who do not qualify for crypto trading under proposed SEC rules would still be able to invest through licensed fund managers. The Securities and Exchange Commission of Thailand has launched a public consultation on proposed cryptocurrency investor qualification rul

Good morning traders! This is the official account to find out all the breaking news that may/may not affect your trading decision such as economic policies, political moves, global agendas, and more. BUT first, to start off your day with a bang, here's a recap of the important news we think you sho

Photo: Coindesk Due to a lack of enforcement on the part of authorities, offshore crypto exchanges sell unregulated services to U.S. consumers "seemingly without penalty." Like a closely monitored child complaining about a sibling who seems to get away with everything, Coinbase called out rival cryp

Photo: Cointelegraph Utah-based startup TaxBit prepares to provide global crypto-oriented tax expertise with a newly raised $100 million. Major cryptocurrency tax compliance startup TaxBit has raised $100 million as it expands into Europe. According to a Mar 3 blog post, TaxBit has secured the funds

为协助监管机构得到高质量的信息，美国证券交易委员会已为举报者分别颁发两笔总额超过300万美元的奖励。 根据第一份改判令，美国证券交易委员会向一名举报者颁发了超过220万美元的奖励，因为他提供的信息提醒了其工作人员的不当行为，有助于将数百万美元返还给受害客户。 另有一名举报人因向提供了有关欺诈性报告计划的线索，帮助执法行动成功实施而单独获得了70万美元的奖励。此外，举报人还多次向监管机构提供关键证据，并帮助确认关键文件和证人。 美国证券交易委员会举报办公室主任Jane Norberg：在某起事件中，受害客户获得了数百万美元的回报，另有一起事件中发现了欺诈行为，这凸显了举报者提供的巨大价值。&am

Photo: Cointelegraph CBOE is looking to reenter the crypto sector, filing to list a Bitcoin ETF proposed by asset manager Van Eck. The globally leading exchange holding company Chicago Board Options Exchange, or CBOE, has filed to list the Bitcoin (BTC) exchange-traded fund proposed by asset manager

Photo: Cointelegraph Ripple partner MoneyGram is facing a lawsuit alleging the firm issued misleading statements and failed to disclose XRP's status as unlicensed security. Payments company MoneyGram International has been sued over allegedly false statements made regarding its partnership with Ripp

Photo: Cointelegraph Ripple CEO Brad Garlinghouse says the company's activities in the Asia-Pacific region have not been affected by current regulatory troubles in the United States. Despite being in the middle of a $1.3 billion lawsuit with the United States Securities and Exchange Commission, it a