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11 Mar 2017, 10:31 am
The Securities and Exchange Commission (SEC) [official website] on Friday announced its decision to reject an application [text] to create an exchange-traded fund (ETF) [investopedia backgrounder] tied to the value of Bitcoin [website], a virtually currency. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
5 Jun 2023, 8:15 pm
The Securities and Exchanges Commission’s (SEC) suit against the biggest crypto exchange in the world, Binance, could be a huge misstep if other countries allow the crypto industry to develop and it eventually replaces the traditional banking sector, Jim Bianco, president and founder of Bianco Research said. [read post]
12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
30 Aug 2021, 8:00 am
The Securities and Exchange Commission recently approved new Nasdaq rules requiring companies that list shares on its exchange to meet certain race and gender standards. [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
13 Jun 2023, 12:33 pm
By Andrew Keshner The SEC is scheduled to argue Tuesday to temporarily freeze assets tied to Binance.US One of the first rounds in the clash between the Securities and Exchange Commission and Binance is giving the exchange's users an uncomfortably close front row -- and it might have them wondering if they should [...] [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
20 Jun 2007, 4:46 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] Wednesday moved to ease accounting procedures [meeting agenda; recorded video, (00:41:15) WMV] required for foreign companies trading on US exchanges. [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
13 Jun 2023, 4:48 pm
By Andrew Keshner The SEC is scheduled to argue Tuesday to temporarily freeze assets tied to Binance.US One of the first rounds in the clash between the Securities and Exchange Commission and Binance is giving the exchange's users an uncomfortably close front row -- and it might have them wondering if they should [...] [read post]
23 Oct 2007, 7:27 am
The Securities and Exchange Commission (SEC) recently approved a controversial rule proposal that will add significant protections for investors purchasing or exchanging deferred variable annuities. [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
2 Feb 2010, 10:56 pm
New on the website of the Securities Exchange Commission Historical Society is the video "Can Regulatory Agencies Protect the Consumer? [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
5 Jun 2023, 6:33 pm
The Securities and Exchanges Commission’s (SEC) suit against the biggest crypto exchange in the world, Binance, could be a huge misstep if other countries allow the crypto industry to develop and it eventually replaces the traditional banking sector, Jim Bianco, president and founder of Bianco Research said. [read post]
8 Feb 2007, 5:37 am
Donaldson, who co-founded the investment bank Donaldson, Lufkin & Jenrette and later became chairman of the Securities and Exchange Commission, has joined Perella Weinberg Partners as chairman of its advisory council, the firm said Thursday. [read post]
