Search for: "Securities and Exchange Commission"
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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]
9 Dec 2010, 1:43 pm
The Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) on December 8, 2010, jointly proposed rules to define “swap dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant,” and “eligible contract participant” as these terms are used in amendments to the Commodity Exchange Act (CEA) and… [read post]
14 Jan 2020, 1:50 pm
Is the platform a securities exchange? [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
31 Oct 2023, 10:00 pm
The US Securities and Exchange Commission (SEC) has finalized a rule requiring certain parties to report their securities lending transactions to a registered national securities association (RNSA). [read post]
30 Apr 2012, 3:52 pm
Though the Securities and Exchange Commission (SEC) is the primary securities enforcer, multiple enforcers are active in enforcing the securities laws. [read post]
15 Dec 2021, 12:50 pm
The Securities and Exchange Commission announced today that Wedbush Securities Inc., a California-based broker-dealer, has agreed to pay more than $1.2 million to settle charges arising from the unlawful unregistered distribution of nearly 100 million…Read the Full Press ReleaseHave a securities law question? [read post]
5 Jul 2015, 6:00 am
Securities and Exchange Commission. [read post]
30 Sep 2024, 1:10 pm
The Securities and Exchange Commission today announced charges against registered broker-dealer TD Securities (USA) LLC for manipulating the U.S. [read post]
7 Jan 2015, 5:50 am
Securities and Exchange Commission. [read post]
5 Jul 2015, 6:50 pm
Nazareth, Davis Polk & Wardwell: “The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to enforce security-based swap and swap regulatory requirements under Title VII of the Dodd-Frank Act. [read post]
8 Apr 2025, 9:01 pm
Securities and Exchange Commission (“SEC” or “Commission”).[1] Inside the SEC, this gathering is often called the “Section 19(d) conference” after a provision of the Securities Act of 1933 (the “Securities Act”). [read post]
17 Nov 2021, 8:31 am
The Securities & Exchange Commission (SEC). [read post]
17 Nov 2021, 2:07 pm
Congress has established whistleblower programs with monetary awards to incentivize individuals to report possible violations of the federal securities laws to the Securities & Exchange Commission and the Commodities Futures Trading Commission. [read post]
