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Western Asset Management Company (Wamco), a subsidiary of Franklin Resources, has agreed to pay $100 million in a settlement with the US Securities and Exchange Commission (SEC). The settlement addresses allegations related to "leech trades."
Private credit rating agency Egan-Jones has responded to what it calls an 'incendiary allegation' made by the US Securities and Exchange Commission (SEC), claiming the regulator's publication of an order harmed its business.
Canaccord Genuity has been fined $20 million by the US Securities and Exchange Commission (SEC) for undisclosed reasons.
The US Securities and Exchange Commission (SEC) has proposed a new rule that would eliminate quarterly reporting requirements for public companies.
The US Securities and Exchange Commission (SEC) has issued long-awaited cryptocurrency guidance, classifying crypto into five categories and clarifying that securities laws apply only to digital securities, with some experts asserting that tokens are not securities. This guidance aims to define crypto assets more clearly.
The US Securities and Exchange Commission (SEC) is reportedly pushing back against a new wave of planned high-leverage exchange-traded funds (ETFs), using a rare group call to reiterate its concerns about aggressive fund structures.
Goldman Sachs has submitted a filing with the US Securities and Exchange Commission (SEC) to launch a Bitcoin-linked exchange-traded fund (ETF) that will employ an options strategy to generate income.
The US Securities and Exchange Commission (SEC) is reportedly considering eliminating the quarterly reporting requirement for public companies, a move that could significantly alter corporate disclosure practices.