Search for: "Application of Securities and Exchange Commission"
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4 Oct 2016, 6:52 am
Securities and Exchange Commission’s (SEC) review and a spirited debate on equity market structure, the SEC approved IEX’s application to become a national securities exchange on June 17, 2016. [1] As highlighted in the widely read book Flash Boys, by Michael Lewis, IEX employs a speed bump or delay on market participants accessing liquidity on IEX (IEX access delay). [read post]
11 Jun 2012, 2:00 am
The Securities and Exchange Commission makes available on its website information on how members of the public may request that the Commission issue, amend or repeal a rule of general application. [read post]
28 Sep 2022, 8:06 am
The Securities and Exchange Commission has filed charges against 15 broker-dealers and an affiliated investment adviser for widespread failures by the firms and employees to maintain and preserve electronic communications in violation of securities laws. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
22 Oct 2024, 10:00 pm
The Securities and Futures Commission of Hong Kong (SFC) and the Stock Exchange of Hong Kong (Exchange) published on 18 October 2024 a Joint Statement on Enhanced Timeframe for New Listing Application Process. [read post]
13 Oct 2022, 2:13 pm
The Securities and Exchange Commission has passed new rules requiring detailed electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap participants (MSBSPs). [read post]
1 Dec 2022, 8:25 am
The post Cyberattacks- when must publicly traded companies report them to the Securities and Exchange Commission and other agencies? [read post]
13 Apr 2015, 6:51 am
On Wednesday, March 25, 2015, the Securities and Exchange Commission adopted final rules that will assist certain small businesses and startups in fundraising efforts by creating an updated exemption from registration for certain small issuers of securities. [read post]
9 Dec 2011, 12:49 pm
The Ontario Securities Commission today issued a notice approving Alpha Group's application to become a recognized exchange. [read post]
3 Oct 2022, 7:52 am
Securities and Exchange Commission is investigating cryptocurrency exchange Coinbase Global Inc. [read post]
24 Jan 2011, 8:40 am
The Securities and Exchange Commission, as required by the Dodd-Frank financial reform law issued a report to Congress on Friday advocating that any investment professional, stockbrokers and investment advisors providing personalized investment advice to retail customers would have to adhere to a fiduciary standard, including the duty of loyalty, and the duty of care, in connection with the recommendation of investments and investment services. [read post]
27 Jul 2018, 8:59 am
Securities and Exchange Commission (“SEC”) denied an application by the CBOE Bats BZX Exchange, Inc., (“BZX”) seeking to list and trade shares of the Winklevoss Bitcoin Trust. [read post]
1 May 2023, 6:34 am
On April 14, 2023, by a 3-2 party-line vote the US Securities and Exchange Commission (SEC) reopened the public comment period and provided supplemental information on amendments proposed in January 2022 to the definition of “exchange” under Rule 3b-16. [read post]
14 Dec 2009, 12:57 am
To the Securities and Exchange Commission: Last week Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
7 Aug 2021, 4:45 am
Securities and Exchange Commission. [read post]
4 Jul 2012, 7:57 am
The proposed acquisition of Canadian exchange operator TMX Group by a consortium of Canadian financial institutions has won approval from Canada’s top securities regulator, potentially clearing the way for approval by the country’s main competition watchdog.Maple, a consortium of Canada’s largest banks, insurers and pension funds, said the Ontario Securities Commission has approved final recognition orders that will govern operations of the… [read post]
