Broker-dealers can stop burning records to CD, but they don’t have to, says SEC
New-fangled cloud storage now an option. What's that internet app the kids are all using again? Whatsupp?
Storage14 Oct 2022 | 12
US Securities and Exchange Commission
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Articles tagged with US Securities and Exchange Commission
Financial watchdogs want to know what traders are talking about on WhatsApp
Keen interest in messaging platform follows $2 billion fines in US
Security13 Oct 2022 | 29
Oracle pays $23 million to SEC to settle bribery charges
India, Turkey, UAE subsidiaries set up slush funds to bribe 'foreign officials' says watchdog
Databases27 Sep 2022 | 8
Boeing to pay SEC $200m to settle charges it misled investors over 737 MAX safety
Ex-CEO also on the hook for $1m after skipping over known software issues
Software23 Sep 2022 | 42
Morgan Stanley fined $35m after hard drives sold with customer info still on them
Encryption? Data destruction? Bueller?
Storage20 Sep 2022 | 28
SEC says brokerage accounts hijacked for $1.3m pump-and-dump scam
18 people and businesses charged, one giant web of connections
Cyber-crime16 Aug 2022 | 3
US authorities threaten Alibaba with NYSE delisting
Strike one: Amazon rival's audits apparently haven't satisfied the SEC
Legal01 Aug 2022 | 23
Bogus cryptocurrency apps steal millions in mere months
As if the crypto world needs any help in making money vanish
Cyber-crime18 Jul 2022 | 22
Datacenter operator Switch hit with claims it misled investors over $11b buyout
Complainants say financial projections were not disclosed, rendering SEC filing false and misleading
Systems01 Jul 2022 |
How can we make the VC world less pale and male, Congress wonders
'Combating tech bro culture' on the agenda this week for US House committee
Legal29 Jun 2022 | 23
Musk can't tweet about Tesla without lawyer approval – and he's still fighting to end that
By free speech, he means freedom to flip the bird at the SEC
Bootnotes15 Jun 2022 | 48
Musk repeats threat to end $46.5bn Twitter deal – with lawyers, not just tweets
Right as Texas AG sticks his oar in
Personal Tech06 Jun 2022 | 33
SEC probes Musk for not properly disclosing Twitter stake
Meanwhile, social network's board rejects resignation of one its directors
Personal Tech27 May 2022 | 19
Appian awarded over $2b after claiming Pegasystems stole its data
Low-code platform providers' legal tussle ends with 'largest damages award in Virginia state court history'
Legal10 May 2022 | 19
SEC adds Tencent, JD.com, China Mobile to group facing potential delisting
US requires a bit more transparency than some Chinese tech companies are giving
Legal05 May 2022 | 3
Chinese ride-hailing company Didi Global reveals SEC probing its IPO
US regulator looking into alleged 'misstatements' and 'omissions' related to June 2021 USA float
Legal04 May 2022 | 3
SEC nearly doubles cryptocurrency cop roles in special cyber unit
Policing digital assets sounds more Mission Impossible than NCIS
Cyber-crime03 May 2022 | 6
Uncle Sam probes Activision for any insider trading
Troubled games maker reveals investigation amid Microsoft takeover
Personal Tech18 Apr 2022 |
Elon Musk won't join Twitter's board after all
Management promises it will keep listening, and Elon shows no sign of going quiet
Personal Tech11 Apr 2022 | 49
Block claims ex-employee downloaded customer data after leaving firm
Leak highlights worker offboarding policies as SaaS use grows
Security06 Apr 2022 | 10
Baidu added to list of Chinese companies facing US stock exchange delisting
Vid-streamer iQIYI also earns a place
SaaS31 Mar 2022 |
SPAC sponsors could soon be held liable for over-hyping to investors
US watchdog may do something about so-called blank-check IPO capers
Legal30 Mar 2022 | 9
Three Twilio developers charged with insider trading
Crew alleged to have banked over $1m thanks to pandemic-induced usage bumps
Legal29 Mar 2022 | 11
Weibo faces US stock exchange delisting
China's Twitter analog is latest in SEC crosshairs over audits
Legal24 Mar 2022 | 3
SEC proposes four-day rule for public companies to report cyberattacks
And it'll be in an 8-K for all to see
Security09 Mar 2022 | 3
BitConnect boss accused of $2.4bn crypto-Ponzi fraud has disappeared
Where in the world is Carm, sorry, Satish Kumbhani?
Personal Tech02 Mar 2022 | 30
Study says SEC 10-K not fit for purpose when it comes to Big Tech, and the companies are using that to their advantage
Regulatory body needs method to account for business models that monetize free services
Off-Prem14 Dec 2021 | 9
The SEC is investigating whistleblower claims that Tesla was reckless as its solar panels go up in smoke
Tens of thousands of homeowners and hundreds of businesses were at risk, lawsuit claims
On-Prem06 Dec 2021 | 5
Now America's financial watchdog probes 'frat house' Activision Blizzard
Plus: Chief Legal Officer exits as court battles loom
Personal Tech21 Sep 2021 | 3
SEC takes legal action after crowdfunded marijuana investment scheme appears to go up in smoke
Platform and individuals charged in first case of its kind
Legal21 Sep 2021 | 19
Twitter offers to cough up 80 days of annual sales to settle 'false' user count lawsuit
Web biz proposes $800m to disappear accusations of over-promising audience size to investors
Personal Tech20 Sep 2021 | 4
App Annie fined $10m by the SEC for deceptive practices around how it presented data
Analytics firm will neither admit nor deny the findings
Legal15 Sep 2021 | 6
Crypto-coin startup said its bot could generate huge profits from your Bitcoin. It was a scam, says SEC
Founder and promoter accused of running 'Ponzi-like scheme'
Personal Tech03 Sep 2021 | 30
SEC still digging into SolarWinds fallout, nudges undeclared victims
US markets watchdog sniffs around potential insider trading, data violations relating to hack
Security22 Jun 2021 | 6
School teacher accused of pocketing $1m+ in insider trading using tips from Silicon Valley pal
One of six guys charged over Infinera, Fortinet securities
Security16 Jun 2021 | 10
You were supposed to be watching him. Letters from SEC claim Tesla breached deal to police Elon Musk's tweets
2020 missives from American securities regulator to car firm revealed
Offbeat02 Jun 2021 | 17
Cisco reveals a probe of 'self-enrichment scheme' involving ex-employees in China
Also lifts lid on allegations former workers paid staffers of 'state-owned enterprises'
Networks18 Feb 2021 | 3
SEC: If you want to easily crowdfund investment in your business, knock yourself out, all the way to $5m
Rules loosened by regulator, concerns raised they favor the rich
Science04 Nov 2020 |
Former antivirus baron John McAfee collared, faces extradition to America on tax evasion, securities allegations
He paid more or less than $750, though?
Security06 Oct 2020 | 111
SEC drags Silicon Valley AI upstart to court over claims of made-up revenues, investors swindled out of $11m
No, surely not, no way, we're utterly shocked
AI + ML22 Jul 2020 | 3
Never thought we'd write this headline: Under Siege Steven Seagal is not Above The Law, must fork out $314,000 after boosting crypto-coin biz
D-list cinematic eye-gouger catches heat for million-dollar funbucks bung
Science27 Feb 2020 | 41
Fake docs rock real docs: Ex-Wall St guy accused of conning medics out of £27m for bogus cryptocurrency fund using faked paperwork
He spent the dosh on himself rather than invest it as promised, prosecutors claim
Science12 Feb 2020 | 26
IT isn't supposed to stand for Insider Trading... Palo Alto Networks sysadmin and pals accused of $7m shares caper
Techie allegedly fed secret financial info to buddies ahead of public release
Networks18 Dec 2019 | 11
Colorado cryptocoin execs spark up blunt '$722m ponzi scheme' criminal charges after investments go up in smoke
Dude, pass the indictment
Science11 Dec 2019 | 13
Infosys confirms SEC probe, says India's SEBI also wants a word
Plus a class action sueball – it's been a busy 24 hours for Indian outsourcer
On-Prem24 Oct 2019 | 1
WeWork, but We don't IPO: Self-styled techie boarding house calls off cursed stock offering
The worst thing to happen to them since the last thing
On-Prem30 Sep 2019 | 41
Cryptocurrency lovers slip US watchdog $7m to make claims of ripping off investors, other rule breaking simply vanish
Meanwhile, SEC takes on Kik on similar charges
Science13 Aug 2019 | 3
US insurers face SEC probe over web-access bungle that exposed 'up to 885 million' files
But it claims just 32 people had 'non-public' info disclosed. Eh?
Security13 Aug 2019 | 18
While on his way to the clink, IT consultancy big cheese will cough up that $2.9m he embezzled
Nandu Thondavadi reaches agreement with America's financial watchdog
On-Prem31 Jul 2019 | 5
Delicious irony: Hacked medical debt collector AMCA files for bankruptcy protection from debt collectors
The tables are turned, database tables that is
Security18 Jun 2019 | 36
Bloody awful: Hell-thcare hackers break into databases of 20m medical test biz patients
Outsourced silos of personal info raided, at least 200,000 payment details swiped
Security05 Jun 2019 | 14
SEC says no to Amazon bid to stop shareholders voting on use of facial recognition system
Proposal seeking to halt sale of Rekognition to US agencies to be heard at annual meeting
Science08 Apr 2019 | 22
Head of Apple's insider trading program charged with… you guessed it... insider trading
US financial watchdog, prosecutors overdose on irony
On-Prem13 Feb 2019 | 33
EDGAR Wrong: Ukrainians hacked SEC, stole docs for inside trading, says Uncle Sam
Crooks banked $270,000 in just one move, it is claimed
Security15 Jan 2019 | 11
Uncle Sam wants tech toolkit to snoop social media stock scammers
Pumpers and dumpers, flash crashers and other miscreants under the SEC's spotlight
Security05 Sep 2018 | 6
IT biz embezzlement brouhaha leaves bloke with $456k migraine
Backer charged in connection with alleged $4.1m corporate fraud scandal
Security23 Jul 2018 | 9
Four US govt agencies poke probe in Facebook following more 'oops, we spilled your data' shocks
Giving dozens of devs access to profiles suddenly looks dumb
Security03 Jul 2018 | 30
The strange tale of an energy biz that suddenly became a blockchain upstart – and $1.4m now forfeited in sold shares
Two blokes charged by SEC settle out of court
On-Prem02 Jul 2018 | 19
CEO of struggling storage biz Tintri quits
SEC filing shows company up the creek and sans paddle
Storage19 Jun 2018 | 10
Tintri teeters on the edge of oblivion
Management faces the ghoulish and grisly truth
Storage18 Jun 2018 | 7
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