Cryptocurrency

These proceedings arise out of the failure of WSC, a registered broker-dealer, to establish, maintain, and enforce written policies and procedures reasonably designed, taking into ...

Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...

The SEC's complaint alleges that David Blaszczak, a former government employee turned political intelligence consultant, obtained key confidential details about upcoming decisions by the Centers ...

Nine months after the SEC charged Leon Cooperman and his New York-based RIA Omega Advisors ($6.1B in AUM) with insider trading and beneficial ownership reporting ...

Saying the nation’s “vital national interest” depends on supporting new technologies to keep our markets competitive, Acting CFTC Chairman Christopher Giancarlo announced LabCFTC – a ...

LabCFTC will be the focal point of CFTC FinTech policy consideration and development. It will be the hub for our engagement with FinTech innovators and ...

The futures and swaps markets are rooted in the last century, and we now oversee trading that occurs almost exclusively on screens where transactions happen ...

If you see something, say something. That’s the message from Cam Funkhouser, executive VP of FINRA’s Office of Fraud Detection and Market Intelligence, who would ...

Memo to FINRA re blockchain: regulate the impacts, not the technology, and then proceed with caution. That’s the upshot of comments FINRA received in response ...

The SEC alleges that Avaneesh Krishnamoorthy learned that Golden Gate Capital planned to acquire Neustar Inc., and he then began trading in Neustar securities. The ...