Tag: SEC
SEC: Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
SEC: Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities MarketsSEC proposed requirements for broker-dealers, clearing agencies, major security-based swap participants
...
SEC: Updates Electronic Filing Requirements
SEC: Updates Electronic Filing RequirementsSEC announced that it adopted amendments to require certain forms that currently are permitted to be filed
The amendments...
SEC: Charges Five Russians in $80 Million Hacking and Trading Scheme
SEC: Charges Five Russians in $80 Million Hacking and Trading SchemeSEC announced fraud charges against five Russian nationals for engaging in a multi-year...
SEC: Appoints Haoxiang Zhu Director of Division of Trading and Markets
SEC: Appoints Haoxiang Zhu Director of Division of Trading and MarketsSEC announced the appointment of Haoxiang Zhu, a professor of finance at the...
SEC: Proposes Updates to Electronic Recordkeeping Requirements
SEC: Proposes Updates to Electronic Recordkeeping RequirementsSEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation
Published proposed...
SEC: Charges DeFi company for defrauding investors out of $30 million
SEC: Charges DeFi company for defrauding investors out of $30 millionSEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate...