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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]
3 Jan 2024, 9:40 am
Securities and Exchange Commission Commissioner Mark T. [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]
12 Mar 2018, 3:11 am
Speaking at Washington, DC, on January 22, 2018, Securities and Exchange Commission Chairman, Jay Clayton spoke about two issues before the Commission: (1) his expectations for market professionals, particularly when dealing with new products or new forms of old products, especially concerning Initial Coin Offerings (“ICO”)and (2) the SEC’s approach to remaining Dodd-Frank rulemaking mandates. [read post]
12 Nov 2008, 4:09 pm
On Monday, November 10, 2008, Forest Laboratories, Inc. filed a quarterly report with the Securities and Exchange Commission, revealing that it had agreed in principle to a settlement amounting to $65 million in In re: Forest Laboratories, Inc. [read post]
27 Oct 2006, 5:13 am
Treadway, settled a securities fraud case brought by the Securities and Exchange Commission by paying a $572,000 fine, the S.E.C. said yesterday. [read post]
13 Jun 2016, 6:49 am
On June 8, 2016, the Securities and Exchange Commission publicized the implementation of “rules that will establish timely and accurate trade acknowledgment and verification requirements for security-based swap (SBS) entities that enter into SBS transactions. [read post]
18 Dec 2020, 7:01 am
The Securities and Exchange Commission today announced the creation of the Security-Based Swaps Joint Venture, a collaborative venture among several SEC divisions and offices that will be responsible for coordinating functions related to the regulation…Read the Full Press ReleaseHave a securities law question? [read post]
1 Sep 2016, 11:39 am
On August 29, 2016, the Securities and Exchange Commission amended a rule designed to provide access for regulators to data in the security-based swap market. [read post]
28 Sep 2020, 9:09 am
The Securities and Exchange Commission today announced a proposal to enhance the operational transparency, system integrity, and regulatory oversight for alternative trading systems (ATSs) that trade government securities as well as repurchase and…Read the Full Press ReleaseHave a securities law question? [read post]
23 Feb 2018, 4:00 am
A federal court ordered the man to stop selling securities, following a Securities and Exchange Commission investigation in 2014 The man pleaded not guilty to the charges. [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]
30 Nov 2020, 6:09 am
The defining difference between them is that exchanges choose to register as self-regulatory organizations, with closer supervision by the Securities and Exchange Commission (“SEC”), while ATSs make use of an exemption from registration as exchanges to operate in a less regulated environment. [read post]
7 Jul 2018, 7:03 am
Securities Exchange Commission (“SEC”) and Chairman Jay Clayton have repeatedly cautioned the cryptocurrency and initial coin offering (“ICO”) industries about the securities law implications for digital assets. [read post]
15 Jul 2021, 3:00 am
SEC Said Firm Didn’t Implement Proper Safeguards To Prevent Misappropriation The Securities and Exchange Commission (SEC) has fined Securities America Advisors $1.75M for allegedly not doing enough to protect customers from having their money stolen by a former registered representative who misappropriated $8M from at least 15 client accounts. [read post]
26 Oct 2022, 8:27 am
The Securities and Exchange Commission today adopted rules to require securities exchanges to adopt listing standards that require issuers to develop and implement a policy providing for the recovery of erroneously awarded incentive-based compensation…Read the Full Press ReleaseHave a securities law question? [read post]
4 Mar 2021, 2:20 pm
Securities and Exchange Commission, which held that the process for appointing administrative law judges for the SEC violated the Constitution’s appointments clause. [read post]
26 Jan 2010, 8:58 pm
Court of Appeals for the Fifth Circuit has affirmed the Securities and Exchange Commission’s lifetime bar against a former Southwest Securities Inc. stockbroker. [read post]
