Searching Content indexed under Securities by Joseph Moreno ordered by Published Date Descending.
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Marketing And Printing Services Provider Settles FCPA Charges
A Wisconsin-based marketing digital and print services provider settled SEC charges that it violated the anti-bribery and books and records provisions of the Foreign Corrupt Practices Act
United States
8 Oct 2019
SEC Chair Jay Clayton Criticizes Foreign Counterparts For Lack Of Anti-Corruption Enforcement
SEC Chair Jay Clayton criticized his foreign counterparts for their lack of anti-corruption enforcement, arguing that only through a collaborative global strategy on fighting offshore bribery will such efforts be successful.
United States
12 Sep 2019
SEC Commissioner Hester Peirce Calls For Support Of Crypto Innovation
SEC Commissioner Hester M. Peirce called for improved coordination among international financial regulators
United States
7 Aug 2019
Accounting Firm Settles SEC Charges Of Using Stolen Data To Improve PCAOB Inspection Results
A "Big Four" accounting firm paid $50 million to settle SEC charges for using stolen information to improve the firm's annual inspection results with the industry's watchdog agency.
United States
1 Jul 2019
Medical Device Company Settles SEC Charges For Violating FCPA
A German medical device and services company agreed to pay $231 million to settle charges of violating the anti-bribery, books and records, and internal accounting controls provisions of the FCPA.
United States
12 Apr 2019
Company Settles SEC Charges For Conducting Unregistered Initial Coin Offering
A U.S.-based cybersecurity company agreed to settle SEC charges that its initial coin offering ("ICO") constituted an unregistered securities offering under the Securities Exchange Act of 1934.
United States
1 Mar 2019
Information Technology Company Settles SEC Charges For FCPA Violations
A U.S. information technology company agreed to pay $25 million to settle SEC charges for violating the anti-bribery, books and records, and internal accounting controls provisions of the Foreign Corrupt Practices Act ("FCPA").
United States
26 Feb 2019
SEC And PCAOB Raise Concerns Over Access To Overseas Corporate Financial Information
SEC Chair Jay Clayton, SEC Chief Accountant Wesley Bricker and Public Company Accounting and Oversight Board ("PCAOB") Chair William D. Duhnke III raised concerns about foreign markets that restrict access to information about U.S.-listed companies operating overseas.
United States
14 Dec 2018
Federal District Court Confirms That Securities Laws Apply To Initial Coin Offerings
The U.S. District Court of the Eastern District of New York ruled that virtual currencies issued through an initial coin offering ("ICO") may constitute securities under the Securities Act and Exchange Act.
United States
17 Sep 2018
SEC Settles Actions Involving Digital Securities
A privately owned company and two individuals settled SEC charges of conducting unregistered securities transactions and acting as unregistered broker-dealers in digital securities.
United States
14 Sep 2018
SEC Rejects Another Nine Proposed Bitcoin ETFs
The SEC Division of Trading and Markets rejected applications for nine exchange-traded funds ("ETFs") tied to bitcoin futures markets from three separate companies – ProShares, Direxion, and GraniteShares – on the grounds that they lacked adequate means of preventing "fraudulent and manipulative acts and practices."
United States
3 Sep 2018
SEC Rejects Proposal To List Bitcoin-Based ETP On Regulated Exchange
By a three-to-one vote, the SEC rejected a second application by the Bats BZX Exchange ("BZX") (now owned by Cboe Global Markets) to list a bitcoin-backed exchange-traded product ("ETP").
United States
3 Aug 2018
Attorney Settles Charges Of Illegally Selling Blockchain-Related Securities
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
United States
19 Jul 2018
Federal Jury Convicts Two Individuals In Newswire Hacking Case
A federal jury in the U.S. District Court for the Eastern District of New York convicted a former hedge fund manager and a former securities trader of various securities fraud charges for their roles...
United States
16 Jul 2018
SEC Chair Says Bitcoin Are Not Securities
SEC Chair Jay Clayton asserted that bitcoin and other cryptocurrencies that are replacements for U.S. dollars or other sovereign (fiat) currencies do not constitute securities under federal securities laws ...
United States
11 Jun 2018
SEC Commissioner Cautions Against Overregulating Initial Coin Offerings
SEC Commissioner Hester M. Peirce cautioned against the "blanket" classification of digital tokens used in initial coin offerings ("ICOs") as securities, and warned against the overregulation of ICOs...
United States
15 May 2018
SEC Cyber Unit Shuts Down Unregistered ICO
The SEC filed an action to halt the initial coin offering ("ICO") of Centra Tech, Inc. ("Centra"), charging two Florida businessmen with engaging in a fraudulent scheme to raise funds from investors ...
United States
6 Apr 2018
SEC Cyber Unit Charges Trader In Brokerage Account Hacking Scheme
The SEC charged a Philadelphia-based trader with several Securities Act and Exchange Act violations for allegedly participating in and profiting from a "brokerage account takeover" scheme.
United States
8 Nov 2017
Wild West No Longer: The SEC Brings Enforcement Actions Against Two Initial Coin Offerings
Ending months of speculation about when regulators would wade into the world of Bitcoin and other digital currencies, the U.S. Securities and Exchange Commission ("SEC") recently brought....
United States
20 Oct 2017
Financial CHOICE Act Would Complicate The Choices In Bringing And Defending Against SEC Cases
Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission's enforcement program in a historic manner.
United States
21 Jun 2017
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