Sec Llc - Search News

Robinhood, SEC

USA Today · 3d

Robinhood to pay $45 million to settle SEC charges over recordkeeping, other violations

Online trading firm Robinhood has agreed to pay $45 million to settle SEC charges over record keeping, trade reporting and other rule violations.

Hosted on MSN · 4d

SEC charges Robinhood with securities violations, brokerage to pay $45 million penalty

The Securities and Exchange Commission on Monday said two related Robinhood broker-dealers agreed to pay $45 million in combined penalties to settle administrative charges that they violated more than 10 separate securities law provisions related to their brokerage operations.

Benzinga.com · 3d

Robinhood Agrees to $45 Million SEC Settlement Over Past Violations

Robinhood shares are slightly up after the SEC imposed a $45 million fine for regulatory violations, including issues with trading activity reporting, cybersecurity, and recordkeeping.

13hon MSN

LPL Financial settles SEC anti-money laundering charges for $18 million

The Securities and Exchange Commission (SEC) has announced charges against broker-dealer and investment adviser LPL Financial ...

10hon MSN

SEC enforcement blitz targets 7 financial firms as Biden administration winds down

The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

3d

SEC’s Gensler not backing down from crypto crackdown as he exits: 'I feel very good about what we’ve done'

Securities and Exchange Commission chair Gary Gensler is not backing down from his views about the cryptocurrency industry as ...

7d

Crypto litigation brought against the SEC and the implications of a new administration

Alexander C. Drylewski, Daniel Michael and Shaud G. Tavakoli of Skadden, Arps, Slate, Meagher & Flom LLP discuss lawsuits ...

Some results have been hidden because they may be inaccessible to you

Show inaccessible results