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28 May 2025, 10:00 pm
The US Securities and Exchange Commission recently convened a public roundtable, Tokenization – Moving Assets Onchain: Where TradFi and DeFi Meet, the fourth in a five-part series hosted by its Crypto Task Force. [read post]
15 Mar 2017, 4:26 am
The US Securities and Exchange Commission (SEC) handed a blow to the cryptocurrency when it denied an application by the Winklevoss twins (of Social Network fame) to create an exchange-traded fund (ETF) based on Bitcoin called the Bats BZX Exchange. [read post]
8 Sep 2023, 11:40 am
This summer, the Securities and Exchange Commission (SEC) adopted rules to enhance and standardize disclosures by public companies regarding cybersecurity risk management, strategy, governance, and incidents. [read post]
10 Mar 2015, 9:47 am
Last week, the Securities and Exchange Commission announced an award payout of between $475,000 and $575,000 to a former company officer who reported information about an alleged securities fraud. [read post]
10 Jun 2014, 5:00 am
See In re North East Capital, Exchange Act Release No. [read post]
1 Feb 2008, 11:24 pm
A prediction market is like a securities exchange; but instead of trading stocks, market participants trade “contracts” that designate whether an unambiguous future event will occur. [read post]
23 May 2022, 5:45 pm
Securities and Exchange Commission (SEC) has charged Allianz Global Investors U.S. [read post]
16 Feb 2018, 9:16 am
In recent months, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) have issued warnings to those involved in cryptocurrencies, initial coin offerings, and token generation events. [read post]
25 Feb 2014, 10:02 am
The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. [read post]
6 Apr 2009, 2:17 am
Senator Nick Sherry, Minister for Superannuation and Corporate Law, has allowed changes to the Australian Securities Exchange (ASX) market rules to boost retail investor disclosure and protection in relation to "partly paid securities". [read post]
10 Sep 2009, 6:09 pm
Securities and Exchange Commission Head Mary Shapiro is warning broker-dealers to be careful of the recruiting tactics they employâ€â [read post]
3 Nov 2022, 6:30 am
Securities and Exchange Commission. [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)FTX Was Not Regulated: John Reed Stark (Bloomberg Crypto Show) Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland) DOJ RELEASES Wisconsin Man Indicted for $35 Million Bank Fraud Scheme (DOJ Release) Man... [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)FTX Was Not Regulated: John Reed Stark (Bloomberg Crypto Show) Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland) DOJ RELEASES Wisconsin Man Indicted for $35 Million Ban... [read post]
8 Feb 2024, 9:09 am
On Tuesday, February 6, 2024, the United States Securities and Exchange Commission promulgated final rules relating to changing the definition of dealer pursuant to the Securities Exchange Act of 1934. [read post]
17 Mar 2020, 2:58 am
Securities and Exchange Commission, the answer is at least two. [read post]
30 Sep 2021, 10:00 pm
The article details Securities and Exchange Commission disclosure strategies and protocol. [read post]
6 Feb 2003, 2:34 pm
[JURIST] The Securities and Exchange Commission voted at an open meeting Thursday to adopt a new rule requiring analysts to provide certifications regarding expressed views and to disclose any compensation they may have received related to those views and recommendations. [read post]
31 Jan 2011, 6:09 pm
In a remarkably short time period, the Securities and Exchange Commission approved a proposed rule change filed by FINRA to provide investors with the option of selecting an all public arbitrator panel in arbitrations filed against their brokers or brokerage firms in FINRA’s Dispute Resolution forum. [read post]
27 Oct 2006, 5:19 am
The Securities and Exchange Commission, under scrutiny for its handling of an insider-trading case involving a prominent hedge fund, will be the subject of a broad review by the investigative arm of Congress, the Government Accountability Office. [read post]
