Search for: "Securities and Exchange Commission"
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7 Nov 2010, 7:14 am
Securities and Exchange Commission. [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]
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]
14 Jan 2020, 1:50 pm
Is the platform a securities exchange? [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]
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]
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]
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]
