Feb 15 (Reuters) - The SEC on Wednesday won an appeal against a penny-stock firm accused of acting as an unregistered securities dealer, fending off investment industry warnings that its expansive ...
May 30 (Reuters) - For the second time this year, the 11th U.S. Circuit Court of Appeals has accepted the U.S. Securities and Exchange Commission’s expansive view of who must register as a securities ...
SEC defines the phrase “as part of a regular business” to capture private funds and other market participants that take on liquidity-providing roles. The Securities and Exchange Commission (SEC) ...
NEW YORK – A judge’s questions offered hints of how she is looking at Coinbase’s legal battle with the U.S. Securities and Exchange Commission (SEC) during the first hearing in the case. In a ...
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