Search for: "Securities and Exchange Commission"
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14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
14 Feb 2022, 10:00 pm
The US Securities and Exchange Commission (SEC) has proposed a sweeping expansion in how it defines securities exchanges to capture digital asset platforms, request-for-quote platforms, indication-of-interest platforms (IOI), and other messaging platforms. [read post]
16 Apr 2010, 10:25 am
Not news specific to Minnesota civil litigation but still of interest: The stock market is “roiling” today and the consensus appears to be that it is due to the SEC’s charges brought today against Goldman Sachs in United States District Court, Eastern District of New York. [read post]
26 Apr 2021, 9:53 am
The political currents that have roiled US society often are echoed in the policy choices made by the Securities and Exchange Commission. [read post]
5 Nov 2009, 1:36 pm
House Financial Services Committee Chairman Barney Frank sent a letter to Commodity Futures Trading Commission Chairman Gary Gensler and Securities and Exchange Commission Chairman Mary Schapiro seeking their input on efforts to strengthen the derivatives legislation recently approved by the... [read post]
29 Sep 2016, 5:24 am
SEC Release No. 34-78963 has been issued and states in part the following: The Securities and Exchange Commission (“SEC” or “Commission”) proposes to amend the definition of “covered clearing agency” under Rule 17Ad-22 to mean a registered clearing agency that... [read post]
27 Sep 2007, 11:38 am
The Securities and Exchange Commission (SEC) has published a "plain English" summary of the law to help new advisers understand their compliance responsibilities. [read post]
16 Apr 2023, 9:01 pm
Securities and Exchange Commission. [read post]
15 Jun 2015, 7:43 am
In addition, the exchange must agree to list the ETP securities for trading and have in place Commission-approved listing standards. [read post]
14 Mar 2019, 3:51 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, and the State of Massachusetts are investigating GPB Capital Holdings LLC (“GPB”) With all the recent news regarding GPB, one investigative authority has fallen under the radar – The New York City Business Integrity Commission. [read post]
27 Sep 2007, 11:38 am
The Securities and Exchange Commission (SEC) has published a "plain English" summary of the law to help new advisers understand their compliance responsibilities. [read post]
9 Sep 2020, 1:48 pm
Barred Ohio Stockbroker Accused of Over 500 Unsuitable Exchange Traded Fund Transactions Dominic Anthony Tropiano, a former registered broker in Ohio, is now facing US Securities and Exchange Commission (SEC) fraud charges. [read post]
21 Feb 2007, 1:12 pm
Securities and Exchange Commission to revise its securities law enforcement policies that pressure corporate clients to waive attorney client privilege, work product protections and legal protections for employees during investigations. [read post]
12 Apr 2011, 10:34 pm
"the Securities and Exchange Commission and Commodity Futures Trading Commission (collectively “Commissions”) delivered to Congress a joint staff study on... [read post]
22 Apr 2015, 6:02 am
On March 25, 2015, the Securities and Exchange Commission (“SEC” or “Commission”) proposed an amendment to Rule 15b9-1 (the “Proposal”) under the Securities Exchange Act of 1934 (“Exchange Act”) that, if adopted, would close an historical exception to the general requirement that registered broker-dealers must become members of a registered national securities association… [read post]
14 Sep 2011, 2:34 pm
A Senate subcommittee approved a bill to increase funding by about 19 percent for the Securities and Exchange Commission and the Commodity Futures Trading Commission. [read post]
31 Jan 2018, 4:00 am
The Securities and Exchange Commission barred the man after he failed to respond to their inquiries. [read post]
