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SEC Announces Enforcement Results for Fiscal Year 2023

Reynolds Holding

The stand-alone enforcement actions spanned the securities industry, from billion-dollar frauds to emerging investor threats involving crypto asset securities and cybersecurity, and charged violations by diverse market participants, from public companies and investment firms to gatekeepers and social media influencers.

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SEC Chair Gensler Supports Denial of Coinbase Petition for Crypto Rulemaking

Reynolds Holding

An issuer need not be a formal company issuing stock; it also includes a person or entity that organizes or sponsors the organization that is investing funds in an enterprise for profit. 1 (FTX Trading Ltd.). [11] Binance Holdings Ltd. , 3d 988, 995-97 (N.D. 2021); SEC v. LBRY, Inc. , 3d 211, 216-21 (D.N.H.