Regulation
SEC Looks to Finalize Remaining Market Structure Rules by October
The proposal aims to improve stock order competition but has received mixed feedback from the public.
Tag: SEC
Silvergate Capital Settles Charges of Failing to Monitor $1T in Transactions
The firm allegedly misled investors about its compliance and oversight of transactions, including those made by defunct cryptocurrency exchange FTX.
Investment Fund CIO Pleads Guilty to Securities Fraud
Joshua Goltry ‘lied about nearly every aspect’ of his fund’s operations and performance, according to federal prosecutors and the SEC.
Regulation
Supreme Court Rules SEC In-House Judge Process Is Unconstitutional
Decision upholds defendants’ rights to a jury trial when civil penalties are imposed.
Former Allianz Global Investors CIO Pleads Guilty to Fraud
Gregoire Tournant allegedly lied to investors and distributed altered risk reports.
Regulation
Appeals Court Vacates SEC’s Private Fund Adviser Rule
The court ruled that the SEC lacked the authority to regulate private fund advisers' relationship with investors.
Regulation
Intercontinental Exchange Fined $10M for Failing to Inform SEC of Cyber Intrusion
The NYSE’s parent company allegedly waited four days before telling nine subsidiaries of the 2021 network breach.
Regulation
Crypto Regulation Bill Passes House
The bill aims to divide digital asset oversight between CFTC and SEC.
Regulation
SEC to Start T+1 Settlement Next Week
Securities transactions will have to settled by the following business day.
Regulation
SEC Finalizes Reg S-P Data Security Rule
Covered parties must inform customers of a data breach within 30 days.
Regulation
Financial Services Committee Targets SEC Enforcement Activity
Pending legislation would limit the authority of the SEC’s administrative courts and redefine 'violation' in the securities laws.
Regulation
Supreme Court Rules Investors Cannot Sue for Omissions in Disclosures
The ruling still permits the SEC to take enforcement actions.
Regulation
Scope 3 Disclosure Might be Required for Companies With Climate Goals
Attorneys warn of additional compliance needs in testimony to the House Financial Services Committee.
Regulation
SEC Seeks Institutional Investor Reps for Advisory Committee
The independent committee needs representatives of pensions and mutual funds to bolster investor protection.
Regulation
CalSTRS Focuses on Curbing Methane in 2024 Proxy Season
The giant pension fund has a history of pushing for environment-oriented goals.