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24 May 2023, 4:00 pm
Over the last several years, the Securities and Exchange Commission (the “SEC”) and the Commodities Futures Trading Commission (“CFTC”) have been laser-focused on the use of so called “off-channel communications” in the financial services industry. [read post]
17 Apr 2023, 5:00 am
“These platforms match orders of multiple buyers and sellers of crypto securities using established, non-discretionary methods. [read post]
20 Mar 2012, 5:18 am
The use of certain minerals, mined in strife-torn Africa and used in products like cellphones, is being debated before the Securities and Exchange Commission, Edward Wyatt writes in The New York Times. [read post]
29 Mar 2019, 8:10 am
Today’s amendments will ensure continuity and stability for consumers and investors in the UK and US. [read post]
17 Oct 2019, 8:18 am
Hardin answered that as long as rebates are being paid at other exchanges, this data will not tell us what will happen if no exchange pays rebates. [read post]
14 Mar 2023, 8:38 am
Securities and Exchange Commission, a case with significant implications for the use of administrative law judges (ALJs) by federal agencies, including the CFPB. [read post]
4 Jul 2023, 9:05 pm
The Securities and Exchange Commission’s recent actions against Binance and Coinbase show that the commission is worried about the business model of crypto-trading platforms. [read post]
12 Mar 2021, 7:34 am
What’s worse is that the broker or advisor will use your money from the sale of the annuity to purchase another annuity or other investment products further increasing commissions and fees. [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]
21 Oct 2011, 9:08 am
The Securities and Exchange Commission is expanding its investigation into the use of derivatives by mutual funds and exchange trade funds, and will also focus on problems related to disclosures, valuations, transparency, market volatility, liquidity and other systemic risks associated with exchange traded funds, particularly "leveraged" funds that amplify investor bets often through the use of derivatives. [read post]
20 Jul 2017, 5:15 am
With Chairman Jay Clayton in place, the Securities and Exchange Commission is now controlled by Republican appointees. [read post]
5 Dec 2020, 4:12 am
” According to Kennedy, the bill has the support of the US Securities and Exchanges Commission, who, under the bill, will be responsible for overseeing compliance and disclosure. [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]
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]
1 Oct 2018, 12:16 pm
On September 27, 2018, the Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) charged an international securities dealer with illegally offering and selling to U.S. investors security-based swaps funded with bitcoins and related violations of the Commodities Exchange Act. [read post]
