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23 May 2024, 9:23 am
EMA plans to submit the final draft RTS/ITS, covering the equities and bonds CTPs, to the European Commission by the end of December 2024. [read post]
22 May 2024, 1:02 pm
Securities and Exchange Commission (“SEC”) adopted amendments to Regulation S-P, which implements the Gramm-Leach Bliley Act (“GLBA”) for SEC-regulated entities such as broker-dealers, investment companies, registered investment advisers, and transfer agents. [read post]
22 May 2024, 11:18 am
They kept the money in the account and reported the illegal activity to the Securities and Exchange Commission. [read post]
22 May 2024, 8:30 am
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
22 May 2024, 6:32 am
Key Points Even though the Securities and Exchange Commission’s (SEC’s) climate-related disclosure rules are on hold while court challenges are heard, companies need to prepare for the possibility that some or all parts of the rules will come into effect. [read post]
22 May 2024, 6:31 am
The Securities and Exchange Commission (SEC), the federal administrative agency that regulates securities markets, also has the power to enforce Rule 10b-5 against public companies. [read post]
22 May 2024, 6:31 am
The Securities and Exchange Commission (SEC), the federal administrative agency that regulates securities markets, also has the power to enforce Rule 10b-5 against public companies. [read post]
22 May 2024, 6:00 am
The Securities and Exchange Commission today announced that The Intercontinental Exchange, Inc. [read post]
22 May 2024, 6:00 am
Securities and Exchange Commission published additional interpretive guidance on reporting material cybersecurity incidents under Form 8-K. [read post]
21 May 2024, 9:05 pm
Securities and Exchange Commission (SEC) for endorsing cryptocurrency companies without disclosing that they had been paid for their support. [read post]
21 May 2024, 9:01 pm
Recommendations The kinds of recommendations that are the subject of the Final Rule’s test track the three categories the DOL had included in its Proposal: Post-Rollover Investments – Recommendations as to the advisability of acquiring, holding, disposing of, or exchanging, securities or other investment property, as to investment strategy, or as to how securities or other investment property should be invested after the securities or other… [read post]
21 May 2024, 12:35 pm
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their…Read the Full Press Release Have a securities law question? [read post]
21 May 2024, 9:18 am
Finally, ESMA also sets out its approach in relation to pre and post-trade transparency for exchange traded commodities (ETCs) and exchange traded notes (ETNs), proposing to move away from a periodic assessment of liquidity and introducing a static determination for ETCs and ETNs. [read post]
20 May 2024, 9:05 pm
The Ban the Batistas campaign is calling on the New York Stock Exchange (NYSE) and the Securities and Exchange Commission (SEC) to bar the Batista Brothers from U.S. markets in what it says would be “a decisive response to their ruthless onslaught on fair play. [read post]
20 May 2024, 7:58 pm
The commission sentenced Khadr to 40 years in prison. [read post]
20 May 2024, 3:55 pm
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. [read post]
20 May 2024, 6:26 am
After all, the legal framework of Section 10(b) of the Exchange Act and Section 11 of the Securities Act is over 90 years old. [read post]
17 May 2024, 6:59 pm
Xi Jinping, General Secretary of the CPC Central Committee, President of the State, and Chairman of the Central Military Commission, delivered an important speech at the closing meeting. [read post]
17 May 2024, 12:27 pm
Enlarge (credit: Brendan Smialowski / Getty Images) The Securities and Exchange Commission (SEC) will require some financial institutions to disclose security breaches within 30 days of learning about them. [read post]
