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12 Sep 2017, 8:48 am
View European Commission report on temporary exclusion of exchange-traded derivatives from scope of Articles 35 and 36 of MiFIR, 11 September 2017 [read post]
24 Jul 2014, 6:20 am
Securities and Exchange Commission. [read post]
6 Feb 2012, 7:09 am
Securities and Exchange Commission. [read post]
12 Mar 2021, 5:54 am
Data Protection Commission of Ireland Publishes Annual Report Source: ComplexDiscovery The post Compromised? [read post]
5 Feb 2010, 1:19 pm
On February 4, 2010, State Street Bank and Trust Company entered into a settlement with the Securities and Exchange Commission without admitting or denying the findings of the SEC in the settlement Order. [read post]
15 Apr 2009, 2:12 pm
Securities and Exchange Commission into corruption at that state's pension fund, The New York Times reported Wednesday. [read post]
18 Nov 2022, 6:32 am
Securities and Exchange Commission. [read post]
18 Nov 2022, 6:32 am
Securities and Exchange Commission. [read post]
16 Jul 2019, 10:22 am
Securities and Exchange Commission 18-1566 Issue: Whether Section 929P(b) of the Dodd-Frank Act’s jurisdictional amendments conferred substantive extraterritorial reach under Sections 10(b) and 17(a) of the Securities Exchange Act in Securities and Exchange Commission enforcement actions and in federal criminal prosecutions. [read post]
25 Sep 2023, 7:00 am
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made in several Commission filings, which increased GTT’s reported operating income by…Read the Full Press Release Have a securities law question? [read post]
15 Feb 2023, 9:30 am
The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. [read post]
29 Apr 2022, 1:00 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its virtual meeting on Friday, May 6, which will examine the Commission’s proposed rules on climate-related disclosures and Special…Read the Full Press ReleaseHave a securities law question? [read post]
29 Jan 2025, 11:00 am
The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb. 8, 2024. [read post]
6 May 2022, 8:35 am
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action. [read post]
14 Feb 2023, 12:05 pm
The Securities and Exchange Commission today proposed a rule that would revise the Commission’s regulations under the Privacy Act. [read post]
10 Aug 2022, 8:20 am
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. [read post]
28 Apr 2023, 12:46 pm
The Securities and Exchange Commission today reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting, and the staff of the Commission’s Division of Economic and Risk Analysis released a…Read the Full Press Release Have a securities law question? [read post]
3 Mar 2025, 3:20 pm
The Securities and Exchange Commission today announced the members of the Crypto Task Force staff, which is advising the Commission on matters related to crypto. [read post]
16 May 2024, 7:45 am
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. [read post]
14 Nov 2022, 1:20 pm
The Securities and Exchange Commission today charged S&P Global Ratings, a nationally recognized statistical rating organization (NRSRO) registered with the Commission, with violating conflict of interest rules designed to prevent sales and marketing…Read the Full Press ReleaseHave a securities law question? [read post]
