Tag: Regulatory Breach

The regulator said the U.S.’s largest crypto platform violated rules that require it to register as an exchange and be ...

The deal ends a lawsuit closely watched for its focus on which digital assets are securities.

Michael Barr, the Fed’s vice chair for supervision, said supervisors didn’t fully appreciate the extent of the vulnerabilities as SVB ...

The biggest U.S. exchange said it would fight the SEC’s claim that much of its business is illegal and try ...

MarketsCurrenciesCryptocurrencyRegulator believes largest U.S. crypto exchange violated investor-protection laws

China’s securities regulator said two Nasdaq-listed online brokers violated its domestic laws by allowing customers on the mainland to make ...

The SEC says the firm’s asset-management arm failed to always screen investments as plans required.

WASHINGTON—Many of Wall Street’s biggest banks are nearing agreements to pay as much as $200 million each and admit that ...