Ally to pay $500,000 after SEC finds robo-advisor infractions
Key insight: Ally's cash-enhanced accounts were engineered so that the company could make up revenue that it lost from not ...
Tuesday, May 5, 2026
Tag: SEC
After getting $93M judgment nixed, Commonwealth settles with the SEC for $5M
The SEC has settled for $5 million in a landmark court case that had previously walloped Commonwealth Financial Network with ...
Nasdaq and Talos Partner on Tokenised Collateral Following SEC Nod
Nasdaq will integrate Talos’ digital asset infrastructure into its Calypso and Trade Surveillance platforms. The move aims to bring tokenised ...
After wins, anti-DEI shareholders turn sights on Trump’s SEC
More than a year into the second Trump administration, which kicked off with a flurry of anti-diversity, equity and inclusion ...
Evernorth Details XRP Treasury Strategy in S-4 Filing With SEC Targeting Nasdaq
Evernorth is advancing a billion-dollar XRP treasury strategy toward a Nasdaq listing, backed by Ripple and structured to deliver regulated, ...
SEC and CFTC Finally Align on Crypto: “Most Assets Aren’t Securities”
Most crypto assets are not securities, according to new guidance jointly issued by the U.S. Securities and Exchange Commission (SEC) ...
SEC drops fraud case against BitClout founder Nader ‘Diamondhands’ Al-Naji
The US Securities and Exchange Commission has agreed to dismiss its civil fraud lawsuit against Nader Al-Naji, the founder of ...
Thai SEC Pursues Crypto Promoter as Investors Claim $40M Losses From Online Scheme
Thailand’s Securities and Exchange Commission (SEC) has confirmed that legal action against cryptocurrency promoter Worawat Narknawdee, also known as “Acme ...
Judge orders SEC to release data behind $2B in WhatsApp fines
The SEC must release parts of more than 50 spreadsheets showing just how it arrived at billions of dollars of ...
Monitoring employee AI use? Have an AI policy? The SEC will ask
Regulators including the Securities and Exchange Commission (SEC) are taking a harder look at firms' use of artificial intelligence tools ...
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