SEA 1934 Rule 15(a)
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Cumberland sued by SEC for offering “crypto securities” as unregistered dealer
This marks the first time the SEC has gone after a large OTC crypto market maker for failing to register as a broker-dealer.
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A jury verdict, an ex-FBI informant, and (off-shore) pattern day trading
A tale with some interesting twists and turns and a colorful character at the center of it all.
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SEC adopts groundbreaking broker-dealer rule in US Treasury Market
New rules require firms that routinely deal in US government bonds to register as broker-dealers and face stricter oversight.
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Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.