Sarah N. Lynch – Page 10

Regulators accuse adviser of misleading fund board

August 24, 2021 at 2:29 p.m.

WASHINGTON (Reuters) - Securities regulators filed civil charges on Wednesday against a North Carolina investment adviser and its former owner, alleging they sought to win business by misleading a fund...

U.S. judge says SEC can pursue Bitcoin-related lawsuit

August 24, 2021 at 2:02 p.m.

(Reuters) - U.S. regulators got the green light from a federal judge to proceed with their lawsuit against a Texas man accused of running a Ponzi scheme using Bitcoin, the...

SEC warns of Bitcoin scams, accuses Texas man of Ponzi scheme

August 24, 2021 at 1:37 p.m.

WASHINGTON (Reuters) - A Texas man ran a Ponzi scheme through the virtual online money system called Bitcoin, pocketing some of his investors' proceeds for his personal expenses and gambling,...

SEC should raise bar for investing in risky products: study

August 24, 2021 at 1:23 p.m.

WASHINGTON (Reuters) - Securities regulators should consider raising the bar for who qualifies to invest in certain riskier financial products, a U.S. government watchdog said in a report released on...

SEC staff morale low, atmosphere marked by distrust: study

August 24, 2021 at 1:23 p.m.

(Reuters) - The Securities and Exchange Commission is not the best place to work among federal agencies in Washington, according to a new study by a government watchdog. The SEC's...

CME wants out of U.S. SEC’s plan to reduce trading glitches

August 24, 2021 at 1:15 p.m.

WASHINGTON (Reuters) - CME Group Inc, the world's largest futures exchange, is asking U.S. securities regulators to be excluded from proposed rules that would require exchanges and clearing agencies to...

Watchdog finds SEC did not properly vet contractors

August 24, 2021 at 1:15 p.m.

WASHINGTON (Reuters) - The U.S. Securities and Exchange Commission failed to properly investigate the possible criminal backgrounds of up to 70 contractors, including one who later assaulted his girlfriend, the...

SEC frustrated over pace of U.S. financial crisis reforms

August 24, 2021 at 1:14 p.m.

WASHINGTON (Reuters) - Top Securities and Exchange Commission officials are frustrated over lack of progress in finalizing rules for credit rating agencies and asset-backed securities (ABS), seen by regulators as...

Treasury Secretary says China to hand audit work to SEC

August 24, 2021 at 12:58 p.m.

WASHINGTON (Reuters) - Chinese regulators will hand over some audit documents of U.S.-listed Chinese companies to U.S. securities regulators, U.S. Treasury Secretary Jack Lew said on Thursday, a move that...

SEC lifts longtime advertising ban for hedge funds, others

August 24, 2021 at 1:02 p.m.

WASHINGTON (Reuters) - U.S. regulators on Wednesday lifted an 80-year-old ban on advertising by hedge funds, private equity firms and other companies, paving the way for asset managers to reach...

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