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7 Feb 2013, 11:27 am
Among other things, national authorities will be required to exchange information and best practices between themselves and the Commission within a new “cooperation network”, and circulate early warnings on security risks and incidents affecting network and information systems. [read post]
1 Nov 2024, 7:23 am
In 2020, the SEC (under Chairman Jay Clayton) proposed to eliminate a long-standing rule that exempts from the national securities exchange and ATS regulatory frameworks those platforms that facilitate trading in only Treasuries and other U.S. government securities (“government securities-only trading platforms”)—i.e., to subject those platforms to exchange/ATS regulation for the first time.[2] In early 2022, the… [read post]
9 Dec 2011, 6:47 pm
In Parts One and Two of this article we discussed the new Guidance issued by the Securities and Exchange Commission (SEC) Division of Corporation Finance that provides guidance to companies with regard to whether and how a company should disclose the impact of the risk and cost of cybersecurity incidents (both malicious and accidental) on a company. [read post]
7 Jun 2023, 9:01 pm
Securities and Exchange Commission. [read post]
10 Aug 2007, 3:47 am
Campos, a member of the Securities and Exchange Commission who sparred with agency Republicans over how best to penalize companies for securities law violations, will depart in a month for the private sector, the commission said Thursday. [read post]
3 Jul 2007, 3:37 pm
Press release: "The Securities and Exchange Commission has published for public comment a proposal to eliminate the current requirement that... [read post]
13 Aug 2008, 11:02 pm
News release: "The Securities and Exchange Commission today announced that it has published for public comment an agreement [Release No.... [read post]
11 Nov 2009, 7:11 am
The Securities and Exchange Commission (SEC) has given notice that it intends to take a very active role with respect […] [read post]
29 Jan 2011, 9:10 pm
News release: "The Securities and Exchange Commission announced that it has published a staff study recommending steps to help investors... [read post]
19 Jun 2012, 6:34 am
For more than two years, this blog has been covering the Securities and Exchange Commission’s foray into the world of […] [read post]
8 Sep 2022, 10:00 pm
The US Securities and Exchange Commission recently released its draft Strategic Plan for fiscal years 2022 to 2026 for public comment. [read post]
14 Nov 2006, 4:10 pm
Press release: "Securities and Exchange Commission Chairman Christopher Cox today announced that investors are now able to search the contents... [read post]
2 Nov 2011, 10:09 pm
Report of Investigation, United States Securities and Exchange Commission, Office of Inspector General. [read post]
11 Jun 2008, 11:01 pm
News release: "The Securities and Exchange Commission today voted to formally propose a comprehensive series of credit rating agency reforms... [read post]
12 Nov 2011, 9:12 am
News release: "The Securities and Exchange Commission today announced that the agency filed a record 735 enforcement actions in the... [read post]
17 Jun 2010, 6:03 am
Inphi Corporation, the semiconductor provider, has filed with the Securities and Exchange Commission for an initial public offering, the company announced Thursday. [read post]
2 Sep 2011, 6:03 am
The Securities and Exchange Commission is likely to investigate an e-mail that the company's chief executive, Andrew Mason, sent to employees. [read post]
8 Dec 2008, 10:40 pm
News release: "The Securities and Exchange Commission today announced that it has unanimously approved measures that will shine more light... [read post]
30 Jul 2008, 10:49 pm
News release: "The Securities and Exchange Commission today voted unanimously to provide new guidance to public companies about how to... [read post]
2 Sep 2010, 3:55 pm
News release:" The Securities and Exchange Commission today announced that it has adopted a temporary rule requiring municipal advisors to... [read post]
