US Securities and Exchange Commission

Pearson to Pay $1M Fine for Misleading Investors About Cyber Breach
Technology

Pearson to Pay $1M Fine for Misleading Investors About Cyber Breach

The 2018 cyber intrusion involved the theft of millions of student records, including birth dates and email addresses.
By Lauren Muskett | August 16, 2021
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EV Startup Faces SEC Investigation
Risk & Compliance

EV Startup Faces SEC Investigation

The investigation follows a string of executive departures and the loss of a key automotive deal.
By Lauren Muskett | May 18, 2021
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SEC Panel Urges Update of ‘Accredited Investor’ Standard
Growth Companies

SEC Panel Urges Update of ‘Accredited Investor’ Standard

Income and net worth minimums may not be the best way to determine if an investor has the ability to make an informed investment decision.
By Matthew Heller | October 13, 2014
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Stock Exchanges on Track to Develop Audit Trail System
Risk & Compliance

Stock Exchanges on Track to Develop Audit Trail System

A consolidated audit trail of all stock and options trading activity was first proposed after the May 2010 Flash Crash.
By Matthew Heller | September 29, 2014
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Texas Man Fined $40M for Bitcoin Ponzi Scheme
Risk Management

Texas Man Fined $40M for Bitcoin Ponzi Scheme

Federal judge affirms that fraudsters "are not beyond the reach of the SEC just because they use Bitcoin or another virtual currency."
By Matthew Heller | September 22, 2014
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