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Top related persons:
Kwon - 1 Terraform’s blockchain - 1 Luna - 1 Jed Rakoff - 1 Terraform - 1 Gurbir Grewal - 1 ” Grewal - 1 ” - 1
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United States Manhattan Singapore Montenegro South Korea Washington , There's U.S
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SEC - 2 Labs - 1 US Securities and Exchange Commission - 1 SEC Division - 1 . Securities - 1 Exchange - 1 Capitol - 1 Securities and Exchange Commission - 1

Search resuls for: "SEC Division"


3 mentions found


☆ Terraform Labs and founder Do Kwon found liable in US civil fraud trial
  + stars: | 2024-04-05 | by ( ) edition.cnn.com   time to read: +4 min
Kwon designed TerraUSD and Luna, a more traditional token that fluctuated in value but was closely linked to TerraUSD. The SEC is seeking civil financial penalties and orders barring Kwon and Terraform from the securities industry. Kwon falsely attributed the recovery to the reliability of TerraUSD’s algorithms, according to the regulator. Earlier in the case, Terraform argued that securities laws did not apply to the cryptocurrencies it developed. After a final judgment in the case, Terraform will be able to challenge that ruling on appeal.
Persons: Kwon, Terraform’s blockchain, Luna, Jed Rakoff, Terraform, Gurbir Grewal, ” Grewal, ”, Laura Meehan, ” Meehan, Terraform’s, Louis Pellegrino, ” Pellegrino, Rakoff Organizations: Labs, US Securities and Exchange Commission, SEC, SEC Division Locations: Manhattan, Singapore, Montenegro, United States, South Korea
☆ SEC Chair Gary Gensler signals that disclosure will be a key issue in the year ahead
  + stars: | 2024-04-02 | by ( Bob Pisani | ) www.cnbc.com   time to read: +6 min
The event allows the SEC to get its main messages across, and this year a key issue is "disclosure." Besides Gensler, all the SEC division heads and senior staff will be speaking. and then monitors Corporate America (investment advisers, investment companies, broker-dealers, etc.) This is all governed by the Investment Company Act of 1940 and the Investment Advisers Act of 1940. There's a division of investment management that monitors all the investment companies (that includes mutual funds, money market funds, closed-end funds, and ETFs) and investment advisers.
Persons: Gary Gensler, Drew Angerer, Gensler, There's, We'll Organizations: . Securities, Exchange, Capitol, SEC, Securities and Exchange Commission, Practicing Law Institute, Gensler, Securities, Investment, America, Corporate America, Mutual Locations: Washington ,, United States, There's, U.S
☆ Two former SEC and Treasury officials discuss the Justice Department's SVB investigation
  + stars: | 2023-03-15 | by ( ) www.cnbc.com   time to read: 1 min
Share Share Article via Facebook Share Article via Twitter Share Article via LinkedIn Share Article via EmailTwo former SEC and Treasury officials discuss the Justice Department's SVB investigationJacob Frenkel, Dickinson Wright Partner and Fmr. SEC Division of Enforcement Sr. Counsel Member, and Chris Campbell, Kroll Chief Strategist and Fmr. Assistant Secretary of the US Treasury for Financial Institutions, weigh in on the federal investigation into Silicon Valley Bank.
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