Keybanc dinged by SEC for violating limited offering exemption
The Ohio-based was underwriter on 47 limited offerings, violating the Commission's limited offering exemption.
Source: bondbuyer.com
Page 4 - Sec Enforcement News Today : Breaking News, Live Updates & Top Stories | Vimarsana
Stay updated with breaking news from Sec Enforcement. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
Top News In Sec Enforcement Today - Breaking & Trending Today
Fourth Circuit Reverses Mid-Trial Grant Of Judgment Against SEC In Insider-Trading Case - Securities
On February 23, the U.S. Court of Appeals for the Fourth Circuit reversed a mid-trial grant of judgment as a matter of law against the Securities and Exchange Commission in a jury trial for insider trading.
Source: mondaq.com
Mormon Church, investment manager pay $5 million to settle SEC probe
The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.
Source: financial-planning.com
Crypto exchange Kraken ends staking program in $30M SEC settlement
The IRS in a separate filing asked a court to compel Kraken to turn over its books and other data.
Source: accountingtoday.com
SEC fines Bloomberg $5 million for misleading investors
BVAL marketed its bond valuation methods as sophisticated but sometimes based the valuation on a single broker quote, the SEC said.
Source: bondbuyer.com