Tag: Securities and Exchange Commission (SEC)

The Securities and Exchange Commission has allocated 20 new positions to the unit focused on protecting investors in crypto markets and from cyber-related threats.

The Securities and Exchange Commission (SEC) has proposed rule amendments to enhance and standardise disclosure regard cyber risk management, strategy, governance and incident reporting by public firms.

The Securities and Exchange Commission (SEC) has charged siblings John and Tina Barksdale with defrauding thousands of retail investors out of over $124m.

The Securities and Exchange Commission (SEC) has fined JPMorgan $125m due to ‘widespread and longstanding failures’ by the bank to maintain and preserve written communications.

The US Securities and Exchange Commission (SEC) has slapped a $10m fine on crypto firm Poloniex for operating an unregistered cryptocurrency exchange.

US regulator warned that companies going public through special purpose acquisition companies (SPAC) deals must refrain from publishing misleading statements about their potential growth.

The Securities and Exchange Commission to award five whistleblowers $3m in total for information provided in three different enforcement actions.

The US's top financial markets watchdog has issued a new policy statement outlining how European traders can become authorised to operate stateside.

A top financial markets watchdog has voted to adopt amendments that will modernise, simplify and enhance certain financial disclosure requirements in Regulation S-K.

From: RegTech Analyst The Securities and Exchange Commission (SEC) has published a notice of a substituted compliance application by Germany’s top financial regulator. Substituted compliance...