Search for: "Securities and Exchange Commission"
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9 Aug 2021, 5:50 am
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that…Read the Full Press ReleaseHave a securities law question? [read post]
19 Jul 2021, 5:55 am
The Securities and Exchange Commission today filed a settled action against UBS Financial Services Inc. for compliance failures relating to sales of a volatility linked exchange-traded product (ETP). [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jun 2022, 10:00 pm
The Financial Industry Regulatory Authority recently filed two rule proposals—SR-FINRA-2022-011 and SR-FINRA-2022-013—with the US Securities and Exchange Commission and issued Regulatory Notice 22-12 in an effort to expand the TRACE reporting requirements for FINRA member firms in TRACE-eligible securities. [read post]
13 Jul 2009, 12:04 pm
The subject matter is: The Commission will consider a recommendation regarding amendments to Rule 15c2-12 ("Rule") under the Securities Exchange Act of 1934 ("Act"), concerning the responsibilities of a broker, dealer, or... [read post]
23 Feb 2007, 5:06 am
What is the primary role of the Commission? [read post]
15 May 2023, 6:30 am
The 2019 collapse of the Brumadinho dam in Brazil not only released 12 million tons of mining waste and took 270 lives, it prompted the filing of a major securities fraud enforcement case in the United States by the Securities & Exchange Commission (SEC). [read post]
15 May 2023, 6:30 am
The 2019 collapse of the Brumadinho dam in Brazil not only released 12 million tons of mining waste and took 270 lives, it prompted the filing of a major securities fraud enforcement case in the United States by the Securities & Exchange Commission (SEC). [read post]
20 Sep 2015, 6:40 am
In the first half of 2015, the Securities and Exchange Commission (the “SEC”) finalized or proposed a number of rules relating to security-based swaps (“SBSs”). [read post]
25 Jun 2024, 4:30 pm
The Commodity Futures Trading Commission (“CFTC”) has now joined the Securities and Exchange Commission (“SEC”) in taking a stand against broad non-disclosure provisions in employment agreements. [read post]
25 Jun 2024, 4:30 pm
The Commodity Futures Trading Commission (“CFTC”) has now joined the Securities and Exchange Commission (“SEC”) in taking a stand against broad non-disclosure provisions in employment agreements. [read post]
17 Jun 2023, 5:40 am
The Securities and Exchange Commission today secured emergency relief in which the all the defendants in its litigation against Binance Holdings Limited, BAM Management US Holdings Inc., BAM Trading Services Inc., and Changpeng Zhao agreed to repatriate…Read the Full Press Release Have a securities law question? [read post]
21 Jan 2010, 8:12 pm
Here is the abstract: Investor groups in both Canada and the U.S. have petitioned the Ontario Securities Commission and the Securities and Exchange Commission to issue statements clarifying the application of existing disclosure requirements to climate change-related risks. [read post]
8 Feb 2008, 5:51 am
Securities and Exchange Commission (the “SEC”) may bring a complaint against the company as part of an investigation into whether bids were rigged on investment contracts with local governments. [read post]
8 Jun 2018, 12:01 pm
One such action was initiated by the Securities & Exchange Commission in March 2018. [read post]
28 Apr 2014, 1:58 pm
Robert Brown Jr. has posted The Proxy Plumbing Release Revisited and the Need for Version 2.0 on SSRN with the following abstract: Congress assigned the Securities and Exchange Commission (SEC or Commission) responsibility over the proxy process in the... [read post]
