Sec/page/5 news and trends

UBS Pays $125 Million to Settle US Charges of Repeated AML Failures

August 03, 2026
UBS
SEC Small Business Forum Participants Target Crypto and Crowdfunding Limits
SMBs // July 28, 2026

The Securities and Exchange Commission (SEC) has released a report to Congress highlighting policy recommendations for improving capital-raising policy. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no additional logins required. yesSubscribe to our daily newsletter,...

Crypto Market Regulation Is Running Out of Time at the Finish Line
Cryptocurrency // July 20, 2026

The CLARITY Act was supposed to resolve a relatively straightforward, if technically difficult, question: When is a digital asset a security, when is it a commodity, and which federal regulator is responsible for overseeing the companies that trade it? Get the Full Story Complete the...

Ripple CEO Says Company Considered Folding Before SEC Fight
Blockchain // July 12, 2026

Ripple’s CEO says the blockchain company considered shuttering following an Securities and Exchange Commission (SEC) lawsuit. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no additional logins required. yesSubscribe to our daily...

SEC Clears Path for UBS Crisis Resolution Plans
Legal & Regulation // July 08, 2026

A division of the Securities and Exchange Commission told UBS Group Wednesday (July 8) that it will not recommend that the regulator undertake enforcement action against an exchange of securities ordered by the Swiss Financial Market Supervisory Authority (FINMA). Get the Full Story Complete the...

Interviews & Exclusives
Vendor Breaches Create a New SEC Compliance Test

May 07, 2026
The public narrative around third-party cyber risk has traditionally focused on downstream fallout. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to all PYMNTS content — no additional logins required. yesSubscribe to our daily newsletter, PYMNTS Today. By completing this form, you agree to receive marketing communications […]

New SEC Guidance Pushes Stablecoins Closer to Cash Status

February 23, 2026
For banks, broker-dealers, and clearing firms, the primary obstacle to engaging with crypto has rarely been philosophical skepticism. It has instead been the 800-pound-gorilla in the room made up of...

Senate Sets Dueling Markups for High-Stakes Crypto Market Regulation

January 09, 2026
This January is crunch time for the Senate on cryptocurrency market regulation efforts. Get the Full Story Complete the form to unlock this article and enjoy unlimited free access to...

SEC Redraws Crypto Map as Tokens Break Free of Securities Rules

November 12, 2025
For all its technological foundations, the crypto sector was also built upon a parallel language embraced by its adherents. Beneath the memes and market noise lies a dense web of...

Quick Reads
UBS Pays $125 Million to Settle US Charges of Repeated AML Failures

August 03, 2026
Four U.S. regulators have reached separate agreements with UBS Financial Services in which the company will pay a total of $125 million to settle violations of Bank Secrecy Act (BSA) anti-money laundering (AML) and countering the financing of terrorism (CFT) rules. Get the Full Story Complete the form to unlock this article and enjoy unlimited […]

SEC Small Business Forum Participants Target Crypto and Crowdfunding Limits

July 28, 2026
The Securities and Exchange Commission (SEC) has released a report to Congress highlighting policy recommendations for improving capital-raising policy. Get the Full Story Complete the form to unlock this article and enjoy unlimited free...

Ripple CEO Says Company Considered Folding Before SEC Fight

July 12, 2026
Ripple’s CEO says the blockchain company considered shuttering following an Securities and Exchange Commission (SEC) lawsuit. Get the Full Story Complete the form to unlock this article and enjoy unlimited...

SEC Clears Path for UBS Crisis Resolution Plans

July 08, 2026
A division of the Securities and Exchange Commission told UBS Group Wednesday (July 8) that it will not recommend that the regulator undertake enforcement action against an exchange of securities...