Search for: "Securities and Exchange Commission"
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27 May 2011, 3:05 am
The regulator, the Securities and Exchange Commission, has finally adopted implementing regulations. [read post]
4 Dec 2008, 1:03 am
The Securities and Exchange Commission Historical Society announces the opening of a new gallery in its Virtual Museum and Archive. [read post]
26 Feb 2019, 10:04 am
To date, virtual currency exchanges in the United States have structured their operations in an effort to avoid being required to register as an exchange with either the Securities and Exchange Commission or the Commodity Futures Trading Commission. [read post]
20 Jul 2020, 12:00 pm
Sitkoff on the Securities and Exchange Commission’s Request for Comment on the Names Rule for Mutual Finds in... [read post]
23 Feb 2012, 8:52 am
On February 15, 2012, the Securities and Exchange Commission (SEC) announced that it is strengthening its rule on investment advisory performance fees. [read post]
24 Nov 2021, 5:43 am
Securities and Exchange Commission (“SEC” or “Commission”), it also seems to be the start of an aggressive enforcement agenda led by its new Chairman and Director of Enforcement. [read post]
15 May 2023, 9:00 am
On 12 May 2023, the International Organization of Securities Commissions (IOSCO) published Good Practices Relating to the Implementation of the IOSCO Principles for Exchange Traded Funds. [read post]
21 Nov 2023, 8:10 am
The Securities and Exchange Commission today charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s crypto trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
20 Nov 2023, 2:35 pm
The Securities and Exchange Commission today charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s crypto trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
27 Feb 2024, 10:22 am
Securities and Exchange Commission (SEC), the OSC Whistleblower Program offers monetary awards to individuals who voluntarily provide the agency with original information that leads to a successful enforcement action. [read post]
14 Apr 2023, 8:55 am
The Securities and Exchange Commission today reopened the comment period and provided supplemental information on proposed amendments to the definition of “exchange” under Exchange Act Rule 3b-16. [read post]
15 Oct 2010, 12:10 pm
Securities and Exchange Commission published proposed Regulation MC under the Securities Exchange Act of 1934, intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities and national securities exchanges that post or make available for trading security-based swaps. [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
7 Nov 2010, 7:14 am
Securities and Exchange Commission. [read post]
1 Apr 2022, 7:53 am
The Securities and Exchange Commission has issued new cryptocurrency guidance to cryptocurrency exchanges which will need to report the digital tokens they hold for customers on their balance sheets as assets or liabilities. [read post]
1 Oct 2018, 12:16 pm
On September 27, 2018, the Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) charged an international securities dealer with illegally offering and selling to U.S. investors security-based swaps funded with bitcoins and related violations of the Commodities Exchange Act. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
19 Dec 2021, 10:00 pm
The US Securities and Exchange Commission proposed new rules on December 15, 2021, with respect to security-based swaps that, if adopted as proposed, would prohibit fraud and manipulation, require reporting of large security-based swap positions, and protect the chief compliance officer of security-based swap dealers and major security-based swap participants. [read post]
