Search for: "Application of Securities and Exchange Commission"
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27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
27 Oct 2022, 10:00 pm
On October 12, 2022, the US Securities and Exchange Commission (SEC or Commission) adopted amendments (Final Rules) to the electronic recordkeeping requirements applicable to broker-dealers, security-based swap dealers, and major security-based swap participants under the Securities Exchange Act of 1934. [read post]
19 Nov 2021, 2:03 am
The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap… [read post]
11 Jul 2022, 11:01 am
Also significant is the possible application of the Gramm-Leach-Bliley Act to crypto-currency exchanges. [read post]
17 Nov 2021, 8:31 am
The Securities & Exchange Commission (SEC). [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
1 Aug 2022, 6:32 am
Securities and Exchange Commission (“Commission” or “SEC”) requesting that the Commission propose and adopt rules to govern the regulation of securities that are offered and traded via digitally native methods, including potential rules to identify which digital assets are securities. [read post]
8 Jun 2018, 12:01 pm
One such action was initiated by the Securities & Exchange Commission in March 2018. [read post]
24 Oct 2014, 10:17 am
Exchange Act Sec. 19(d)(2) says that SRO action shall be subject to regulatory review on its own motion, or “upon application by any person aggrieved. [read post]
17 Jan 2023, 10:29 am
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to modernize Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and add new disclosure requirements to enhance investor protections against insider trading. [read post]
8 Dec 2010, 3:22 pm
The Commission envisions a critical role in the derivatives regulatory regime for the new European Securities and Markets Authority (ESMA). [read post]
30 May 2010, 2:50 pm
Securities and Exchange Commission (SEC). [read post]
31 Mar 2014, 2:37 pm
Responding to a request from the European Securities and Markets Authority (ESMA) to provide a consistent definition of derivative and derivative contract across the E.U., the European Commission essentially said that the vehicle to do this would be standards under MiFID II and asked for ESMA’s assistance. [read post]
18 Oct 2018, 7:57 am
The Commission also observed that the exchanges’ statistical analyses fell short, including in one instance by not properly comparing data before and after BATS became a national securities exchange. [read post]
28 Aug 2023, 4:00 am
The Court had asked the Securities and Exchange Commission to offer its opinion on whether they were securities and the SEC declined to do so. [read post]
9 Sep 2022, 1:05 pm
The Securities and Exchange Commission today announced plans to add an Office of Crypto Assets and an Office of Industrial Applications and Services to the Division of Corporation Finance's Disclosure Review Program (DRP). [read post]
17 Aug 2013, 11:52 am
The European Securities and Markets Authority (ESMA) has asked the European Commission to allow for a later start date for reporting of exchange-traded derivatives trades to trade repositories. [read post]
3 Jul 2015, 6:01 am
On July 1, 2015, the Securities and Exchange Commission proposed rules to require issuers of securities listed on U.S. stock exchanges to adopt and enforce clawback policies applicable to incentive-based compensation received by current and former executives in the three-year period preceding the date the issuer is required to prepare an accounting restatement due to material noncompliance with financial reporting requirements. [read post]
7 Feb 2023, 8:02 am
The Securities and Exchange Commission today announced the start of the selection process to fill a seat on the Public Company Accounting Oversight Board (PCAOB) that will become vacant in October. [read post]
