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]
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]
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]
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]
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]
17 Jun 2016, 4:43 pm
The Securities and Exchange Commission today approved Investors’ Exchange LLC’s (IEX) application to register as a national securities exchange. [read post]
5 Jul 2015, 6:00 am
Securities and Exchange Commission. [read post]
3 Dec 2012, 3:49 am
On November 30, 2012, the Securities Exchange Commission announced that it has filed a complaint in the Southern District of New York against China North East Petroleum Holdings Limited (“CNEP”) and a number of its current and former directors and officers (Securities and Exchange Commission v. [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]
13 Nov 2018, 9:30 am
On November 8, the Securities and Exchange Commission (“SEC“) announced that it has settled charges against Zachary Coburn, the founder of EtherDelta, a digital token trading platform. [read post]
7 Jan 2015, 5:50 am
Securities and Exchange Commission. [read post]
20 Dec 2011, 9:12 pm
News release: "The Securities and Exchange Commission [December 16, 2011] charged six former top executives of the Federal National Mortgage... [read post]
17 Nov 2021, 8:31 am
The Securities & Exchange Commission (SEC). [read post]
