The SEC charged three individuals and an issuer with conducting two fraudulent crowdfunding schemes; the SEC also brought charges against the registered crowdfunding portal on which the offerings were conducted and its CEO for failing to respond to red flags.
News & Insights
22388 News Results
The U.S. House Committee on Financial Services Task Force on Financial Technology considered testimony on developments in data sharing and FinTech which raise consumer protection and regulatory questions.
The SEC Office of Investor Education and Advocacy, Office of the Chief Accountant and Division of Corporation Finance warned investors of the risks associated with investments in U.S.-listed companies with operations in China.
A FINRA proposal to extend temporary relief allowing for remote inspections was published in the Federal Register. The proposal would extend the relief through calendar year 2022.
The CFTC Energy and Environmental Markets Advisory Committee recommended the formation of a subcommittee to report back "guiding principles" on the structure of carbon markets.