/capitalmarkets?utm_source=rss&utm_medium=rss&utm_campaign=section Latest articles for: Capital Markets Copyright 2025 ÃÛÌÒÊÓƵ. en-US Fri, 16 May 2025 23:06:22 +0000 /capitalmarkets/articles/2341045?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341045 A U.S. brokerage unit of Brazilian investment bank BTG Pactual will pay $400,000 to the Financial Industry Regulatory Authority to settle claims that, among other things, its written policies didn't explain how it would monitor wire transfer requests to stay in compliance with anti-money laundering provisions. Fri, 16 May 2025 22:30:11 +0000 /capitalmarkets/articles/2341526?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341526 The Financial Industry Regulatory Authority has received a range of feedback on its proposal to streamline reporting requirements for firm representatives' outside business activities, with industry groups urging various tweaks to the measure, and a state regulator and investment adviser group opposing it outright. Fri, 16 May 2025 22:11:34 +0000 /capitalmarkets/articles/2341369?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341369 Initial public offerings are showing life again after a tariff-induced slumber, buoyed by strong debuts and a growing pipeline as more venture-backed technology startups are lining up public listings before Memorial Day and into June. Fri, 16 May 2025 21:48:53 +0000 /capitalmarkets/articles/2341528?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341528 The U.S. Commodity Futures Trading Commission's Christy Goldsmith Romero announced Friday that she will be stepping down as commissioner at the end of the month, potentially leaving the agency struggling to move forward with only two members as it awaits congressional action on President Donald Trump's nominee for chair. Fri, 16 May 2025 21:44:14 +0000 /capitalmarkets/articles/2341548?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341548 An Alabama man was sentenced in D.C. federal court Friday to 14 months behind bars for his role in last year's hack of the U.S. Securities and Exchange Commission's account on the social platform X to post a bogus development in the agency's cryptocurrency policy. Fri, 16 May 2025 21:39:07 +0000 /capitalmarkets/articles/2341494?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341494 Crypto exchange Coinbase faces a wave of lawsuits from users accusing it of negligent information security practices after the exchange disclosed that an unknown perpetrator had stolen customer data by bribing overseas workers. Fri, 16 May 2025 19:17:21 +0000 /capitalmarkets/articles/2341448?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341448 Investors suing mobile food delivery and ride-hailing services operator Grab Holdings Ltd. have received final approval of an $80 million deal settling claims that several sections of a proxy statement Grab filed with a special purpose acquisition company were false and misleading. Fri, 16 May 2025 17:12:03 +0000 /capitalmarkets/articles/2341247?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341247 Prosecutors have asked a New York federal judge to deny a request from convicted fraudster Jason Galanis to recoup $2.17 million he paid in criminal fines, after his nearly 16-year prison sentence was commuted by President Donald Trump. Fri, 16 May 2025 16:20:17 +0000 /capitalmarkets/articles/2335660?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2335660 The Fourth Circuit's recent decision in Defeo v. IonQ will serve as a powerful and persuasive new precedent for corporate defendants as courts continue curtailing securities class action plaintiffs' use of short-seller reports to plead federal securities law claims, say attorneys at Alston & Bird. Fri, 16 May 2025 14:13:20 +0000 /capitalmarkets/articles/2341409?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341409 In this week's Taxation With Representation, Charter Communications Inc. merges with Cox Communications, Hub International Ltd. boosts its valuation after securing an investment, Pan American Silver Corp. acquires Mag Silver Corp. and Robinhood buys WonderFi. Fri, 16 May 2025 12:56:18 +0000 /capitalmarkets/articles/2341238?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341238 Prosecutors asked a Manhattan federal judge for leniency when sentencing a former Goldman Sachs partner who cooperated in the investigation into the 1MDB scandal and testified at his former colleague's trial, citing his "extraordinary" assistance. Fri, 16 May 2025 11:22:21 +0000 /capitalmarkets/articles/2339525?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2339525 A recent settlement of claims against law firm Eckert Seamans for allegedly abetting a Ponzi scheme underscores the continuing threat of clients who seek to exploit their lawyers in perpetrating fraud, and the critical importance of preemptive measures to avoid these clients, say attorneys at Lockton Companies. Fri, 16 May 2025 07:14:06 +0000 /capitalmarkets/articles/2341149?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2341149 American Axle said Friday that it is planning a secondary listing in the U.K. after it takes over automotive group Dowlais, which trades in London, in a £1.16 billion ($1.5 billion) deal, appeasing shareholders across the Atlantic. Thu, 15 May 2025 22:56:03 +0000 /capitalmarkets/articles/2340915?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340915 Crypto exchange Coinbase said Thursday that it's cooperating with a U.S. Securities and Exchange Commission investigation over concerns about how it reported its user metrics in past disclosures, addressing the matter hours after it separately disclosed that it had been extorted over stolen user data. Thu, 15 May 2025 22:45:43 +0000 /capitalmarkets/articles/2340597?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340597 A D.C. Circuit panel expressed skepticism on Thursday of stock exchanges' arguments that the U.S. Securities and Exchange Commission exceeded its authority when it approved across-the-board caps on exchange fees tied to new rules aimed at reducing trading costs. Thu, 15 May 2025 22:33:15 +0000 /capitalmarkets/articles/2340882?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340882 A California federal judge indicated Thursday she'll likely toss a $1 billion antitrust case against Coinbase claiming the cryptocurrency exchange delisted BiT Global after launching a competing "wrapped" bitcoin product for trading on decentralized exchanges, saying the suit didn't plausibly allege that Coinbase gave false justifications for dropping the rival. Thu, 15 May 2025 20:02:18 +0000 /capitalmarkets/articles/2340936?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340936 U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority staff on Thursday withdrew a joint statement from President Donald Trump's first term warning that existing consumer protection safeguards may not be effective or available for digital asset securities. Thu, 15 May 2025 19:37:17 +0000 /capitalmarkets/articles/2340740?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340740 A Texas accountant has lodged a federal complaint alleging a Florida-based CEO of a private equity fund and two executives refused to return $1 million of his life savings after buying securities that produced virtually no income, although the parties on Thursday struck a tentative deal to have the lawsuit tossed. Thu, 15 May 2025 18:37:19 +0000 /capitalmarkets/articles/2340923?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340923 The U.S. Securities and Exchange Commission is focused on "rooting out" the misuse of artificial intelligence by brokerage firms and publicly traded companies, a California audience heard Thursday as agency attorneys tried to combat the perception that the SEC's enforcement arm has gone silent. Thu, 15 May 2025 17:03:23 +0000 /capitalmarkets/articles/2340932?utm_source=rss&utm_medium=rss&utm_campaign=section /capitalmarkets/articles/2340932 The New York federal judge who oversees the U.S. Securities and Exchange Commission's enforcement case against blockchain firm Ripple Labs declined Thursday to bless a deal that would truncate the penalties and injunctions she levied in her judgment, saying the request was made in a "procedurally improper" way.