Search for: "US Securities and Exchange Commission"
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4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
4 Jun 2024, 10:00 pm
Technological advancements and cyber threats are keeping privacy and data security issues at the forefront of lawmaker and regulatory agency agendas on “the Hill,” in particular the US Federal Communications Commission (FCC), Federal Trade Commission (FTC), and Securities and Exchange Commission (SEC). [read post]
3 Nov 2023, 11:14 am
In Securities & Exchange Commission v. [read post]
8 Jun 2022, 6:07 am
RiverSource Distributors Accused of Targeting Retail Ameriprise Financial Customers With VA Sales The US Securities and Exchange Commission (SEC) is ordering Ameriprise’s subsidiary brokerage firm, RiverSource Distributors, to pay a $5M fine for alleged violations involving variable annuities (VAs). [read post]
17 Nov 2021, 2:07 pm
Congress has established whistleblower programs with monetary awards to incentivize individuals to report possible violations of the federal securities laws to the Securities & Exchange Commission and the Commodities Futures Trading Commission. [read post]
23 Apr 2010, 11:19 am
The Securities and Exchange Commission is conducting a review of certain types of exchange traded funds. [read post]
17 Nov 2021, 8:31 am
The Securities & Exchange Commission (SEC). [read post]
19 Oct 2018, 6:47 am
Securities & Exchange Commission Employees and Another Individual" (DOJ Release) https://www.justice.gov/usao-edca/pr/tracy-man-convicted-making-harassing-phone-calls-us-securities-exchange-commission. [read post]
19 Aug 2016, 2:00 pm
The Securities and Exchange Commission has dismissed fraud charges against a Pikesville man three years after an administrative law judge ruled his trading strategy was illegal. [read post]
13 Nov 2018, 9:30 am
On November 8, the Securities and Exchange Commission (“SEC“) announced that it has settled charges against Zachary Coburn, the founder of EtherDelta, a digital token trading platform. [read post]
17 Nov 2010, 5:00 am
Sources: Securities and Exchange Commission’s FY 2010 Performance and Accountability Report SEC’s Strategic Plan for Fiscal years 2010-2015 [read post]
13 Jan 2013, 5:34 am
Securities and Exchange Commission ("SEC") effectively froze the creation of actively managed and leveraged exchange traded funds ("ETFs") that utilize options, futures, swaps, and other derivatives as part of their investment strategies, the SEC has lifted the moratorium on the use of derivatives by actively managed funds while continuing to restrict the use of derivatives by leveraged ETFs. [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]
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]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
14 Dec 2021, 10:00 pm
The US Securities and Exchange Commission’s proposed Rule 10c-1 would create a sweeping new reporting and disclosure regime for participants in the securities lending markets. [read post]
