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What will be the next major regulatory action by the SEC against financial firms by the end of 2024?
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Resolution / Starting Odds
Recordkeeping failures • 25%
Insider trading • 25%
Market manipulation • 25%
Other • 25%
SEC announcements and settlements
Story
Wall Street Firms to Pay Over $470 Million in SEC Texting Probe Settlement
Aug 14, 2024, 09:41 PM
Twenty-six financial firms have agreed to pay more than $470 million to settle charges with U.S. regulators, including the U.S. Securities and Exchange Commission (SEC), over widespread recordkeeping failures. The SEC alleged that these firms failed to maintain proper electronic communications among their employees. This settlement highlights ongoing regulatory scrutiny in the financial sector, particularly concerning compliance with recordkeeping requirements.
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Introduction of new regulations • 25%
Issuance of new guidelines • 25%
Filing of new lawsuits • 25%
Other • 25%
Introduce new regulations • 25%
Modify existing regulations • 25%
Rescind existing regulations • 25%
No major action • 25%
SEC fine • 25%
State-level fine • 25%
No further action • 25%
Other • 25%
Binance • 25%
Coinbase • 25%
Ripple • 25%
Other • 25%
New lawsuit against another exchange • 25%
New regulations for crypto assets • 25%
Settlement with another major exchange • 25%
Other • 25%
Coinbase • 25%
Kraken • 25%
Ripple • 25%
Other • 25%
Coinbase • 25%
Binance • 25%
Gemini • 25%
Other • 25%
Cryptocurrency Regulations • 25%
ESG Disclosure Requirements • 25%
Market Structure Reforms • 25%
Other • 25%
Cryptocurrency regulation • 25%
Market stability • 25%
Corporate governance • 25%
Environmental, Social, and Governance (ESG) issues • 25%
Stablecoins • 25%
DeFi platforms • 25%
NFTs • 25%
Other • 25%
Fine less than $5 million • 25%
Fine between $5 million and $10 million • 25%
Fine greater than $10 million • 25%
No major action • 25%
Pro-Crypto Regulation • 25%
Anti-Crypto Regulation • 25%
Neutral or No Change • 25%
Other Major Policy Change • 25%