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Securities and Exchange Commission
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Securities and Exchange Commission
(Page 3)
Musk to step down as Tesla chair, Tesla and Musk fined $40mn to settle SEC charges
SEC and CFTC charge bitcoin-funded securities dealer and CEO
Elon Musk charged with securities fraud for misleading tweets
SEC charges Voya Financial $1mn for cybersecurity failures
Citigroup to pay $12mn and affiliate $1mn for misleading dark pool clients
SEC uses data analysis to detect “cherry-picking” by broker
CCN: SEC charges blockchain company heads with $27mn pump-and-dump
SEC charges “ICO Superstore” for operating as unregistered broker-dealer
SEC charges digital asset hedge fund manager $200k for registration violation
SEC halts trading in bitcoin and ether trackers, cites “confusion”
SEC charges advisers, orders $97mn refund for faulty quantitative investment models
SEC: VC fund claiming millennial frontier tech strategy was fraud
SEC fills new position for digital assets and innovation
tZERO and BOX Digital in JV for first regulated “security token” exchange
SEC’s proposed rule on machine-readable reporting could predict behaviour
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