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Tag: SEC

News

Brokerage Firm Penalized for Violations of Regulation Best Interest

The Securities and Exchange Commission (SEC) has imposed penalties on a brokerage firm for alleged violations of Regulation Best Interest (Reg BI). The ...
By Artur FernandoFebruary 16, 20240
News

An Investor’s Warning: Subscription-Based Robo-Advisor Services

In a recently released investor bulletin on September 6, the SEC emphasizes that while subscription-based fees of $3 or $10 per month may ...
By Artur FernandoSeptember 7, 20230
News

Accounting Violations Lead to $14.5 Million Settlement for Fluor

Engineering and construction company Fluor has reached a settlement with the Securities and Exchange Commission (SEC) after being charged with accounting violations on ...
By Artur FernandoSeptember 6, 20230
News

Coinbase Shares Surge Following Ripple Token Ruling

Shares of Coinbase Global Inc. experienced a significant rally on Thursday after a federal judge determined that Ripple Labs’ token was not classified ...
By Artur FernandoJuly 16, 20230

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