Tradeweb SEF gains SEC nod as security-based swap facility
Tradeweb Markets Inc . (NASDAQ:TW), a prominent operator of electronic marketplaces, has received approval from the U.S.
SEC Oil Fraud Case Gets Nod for Over $10 Million in Remedies
Oil and gas companies Arcturus Corp. and Aschere Energy LLC, along with founder Leon Ali Parvizian, must pay more than $10 ...
Robinhood Agrees to $45 Million SEC Settlement Over Past Violations
Robinhood Markets, Inc. (NASDAQ:HOOD) shares are trading slightly higher in the premarket session on Tuesday. The U.S.
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.
JD Supra3d
SEC Announces Two Charges for Anti-Money-Laundering Violations
Last week, the Securities and Exchange Commission (SEC) announced two enforcement actions related to the failed ...
Robinhood to pay $45 mln to settle SEC charges over recordkeeping, other violations
Online trading firm Robinhood Markets has agreed to pay $45 million to settle U.S. Securities and Exchange Commission charges over record keeping, trade reporting and other rule violations, the ...
Tradeweb’s TW SEF Receives SEC Approval for SBSEF Registration
Tradeweb Markets Inc. (Nasdaq: TW), a leading, global operator of electronic marketplaces for rates, credit, equities and money markets, today announced that the U.S. Securities and Exchange ...
JD Supra2d
SEC Actions Signal Warning to Investment Advisers Over-Promising on AML
Earlier this month, the US Securities and Exchange Commission (SEC) charged a registered investment adviser (RIA) with willfully violating ...