The SEC charged three individuals with an insider trading scheme involving disclosure of confidential information in connection with a soft drink manufacturer's shift in its primary business "towards the exploration of and investment in opportunities that leverage the benefits of blockchain technology."
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The SEC charged six individuals with insider trading involving the securities of two companies.
The U.S. House Financial Services Committee considered proposed legislation in response to the GameStop and Archegos trading events.
SIFMA, the Investment Company Institute and the DTCC outlined their planned collaborative effort to accelerate the U.S. securities settlement cycle from T+2 to T+1.
The North American Securities Administrators Association cautioned investors against "making emotional decisions" in response to social media campaigns that may negatively affect their investment strategies.