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SEC Charges Coinbase For Operating As An Unregistered Securities Exchange, Broker, And Clearing Agency - Coinbase Also Charged For The Unregistered Offer And Sale Of Securities In Connection With Its Staking-As-A-Service Program

<p><span>The Securities and Exchange Commission today charged Coinbase, Inc. with operating its crypto asset trading platform as an unregistered national securities exchange, broker, and clearing agency. The SEC also charged Coinbase for failing to register the offer and sale of its crypto asset staking-as-a-service program.</span></p>

IRB Brasil Resseguros S.A. (Release No. LR-25718; May 10, 2023)

Complex leveraged ETFs land North Dakota SEC fine

The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.

SEC.gov | SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs

SEC Charges Advisory Firm and Part-Owner for Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs