2021 at the U.S. Securities and Exchange Commission

SEC - YOUTUBE

The mission of the Securities and Exchange Commission (SEC) is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public's trust. read more »

Crypto giant Binance kept weak money-laundering checks even as it promised tougher compliance, documents show

REUTERS

In public, Binance said it welcomed government oversight. At the same time, the firm was withholding information from regulators, maintaining weak checks on customers and acting against its own compliance department’s recommendations, a Reuters investigation has found. read more »

Former Financial Advisor Charged with Stealing $5.8 Million from Client

SEC

The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client. read more »

U.S. Justice antitrust chief says he'll seek to stop deals not settle

REUTERS

The new head of the Justice Department Antitrust Division, Jonathan Kanter, said on Monday the government should seek to stop proposed mergers which pose anticompetitive concerns rather than striking deals for asset sales or other concessions that would allow the transaction to close. read more »