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SEC files 13 charges against Binance, founder

Posted Date: Tuesday, June 6, 2023
The U.S. Securities and Exchange Commission announced 13 charges against Binance.com, its U.S.-based affiliate, BAM Trading Services – which, together with Binance operated the U.S.-affiliate Binance.US – and its founder Zhao Changpeng. The charges include operating unregistered exchanges, broker-dealers, and clearing agencies; as well as misrepresenting trading controls and oversight on the Binance.US platform and the unregistered offer and sale of securities. Read on for more details. Read on »

SEC charges HSBC and Scotia Capital with recordkeeping failures

Posted Date: Tuesday, May 16, 2023
The Securities and Exchange Commission announced charges against HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for “widespread and longstanding” failures by both firms and their employees to maintain and preserve electronic communications. Read on for more details. Read on »

Bittrex announces bankruptcy filing

Posted Date: Tuesday, May 9, 2023
Crypto exchange Bittrex announced it filed for Chapter 11 bankruptcy in federal court in Delaware following a Securities and Exchange Commission investigation and suit and the decision to cease operations in the U.S. in April. Read on for more details. Read on »

Coinbase sues SEC to compel response to rulemaking petition

Posted Date: Tuesday, April 25, 2023
Cryptocurrency exchange platform Coinbase filed an action in federal court seeking to compel the Securities and Exchange Commission (SEC) to provide a response to a petition filed by the company in July 2022. The petition requested the SEC propose and adopt clearer regulatory guidelines for the cryptocurrency industry. Read on for more details. Read on »

SCOTUS continues to curb administrative powers

Posted Date: Tuesday, April 18, 2023
In a recent unanimous decision from the Supreme Court, the court held that entities and individuals facing administrative proceedings from the Federal Trade Commission and the Securities and Exchange Commission have the right to enjoin those proceedings through a suit before a federal district court before the administrative proceeding has concluded. Read on for more details. Read on »

SEC sues crypto trading platform and former CEO

Posted Date: Tuesday, April 18, 2023
The Securities and Exchange Commission charged crypto trading platform Bittrex, Inc. and its former CEO William Shihara for operating an unregistered national securities exchange, broker, and clearing agency. Read on for more details. Read on »

SEC appoints new inspector general

Posted Date: Tuesday, April 18, 2023
The Securities and Exchange Commission appointed a new inspector general, who will take over the role effective May 7. Read on for more details. Read on »

McHenry, Huizenga criticize SEC for failing to provide information on FTX

Posted Date: Friday, April 14, 2023
Chair of the House Financial Services Committee Rep. Patrick McHenry (R-N.C.), and Chair of the Subcommittee on Oversight and Investigations Rep. Bill Huizenga (R-Mich.) sent a letter to Securities and Exchange Commission Chair Gary Gensler demanding further information relating to the charges filed by the agency against FTX founder Sam Bankman-Fried. Read on for more details. Read on »

SEC seeks SCOTUS review on ALJ case

Posted Date: Wednesday, March 22, 2023
The U.S. Securities and Exchange Commission is petitioning the Supreme Court for writ of certiorari to review a case questioning the constitutionality of internally adjudicated administrative enforcement proceedings and the for-cause removal restrictions of administrative law judges in agencies whose heads also have for-cause removal protections. Read on for more details. Read on »

Waters pushes for greater federal clawback powers

Posted Date: Wednesday, March 22, 2023
Rep. Maxine Waters (D-Calif.) proposed legislation to increase the federal government’s clawback authority following the collapse of Silicon Valley and Signature. Read on for more details. Read on »
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Dodd Frank Update June 2023

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