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Tag:
securities
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U.S. Securities and Exchange Commission Staff Publishes Statement Highlighting Risks for Market Participants to Consider As They Transition Away from LIBOR
Published by
Staff Reporter 2
, 07-23-2019 07:09 AM
Tags:
commission
exchange
highlighting
LIBOR
market
participants
publishes
Risks
securities
staff
statement
Transition
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commisssion Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
Published by
Staff Reporter 2
, 06-06-2019 09:34 AM
Tags:
rules
Retail
Relationships
protections
professionals
preserve
investors
Interpretations
financial
exchange
enhance
Commisssion
choice
Adopts
securities
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Proposes Actions to Improve Cross-Border Application of Security-Based Swap Requirements
Published by
Staff Reporter 2
, 05-16-2019 01:37 PM
Tags:
actions
application
based
border
commission
Cross
exchange
improve
proposes
requirements
securities
security
Swap
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Proposes Amendments to More Appropriately Tailor the Accelerated and Large Accelerated Filer Definitions
Published by
Staff Reporter 2
, 05-11-2019 12:00 AM
Tags:
Accelerated
amendments
commission
definitions
exchange
Filer
large
proposes
securities
Tailor
tAppropriately
u.s.
Comments: 0
CMS:
Finance
Securities and Exchange Commission Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
Published by
Staff Reporter 2
, 05-04-2019 09:02 AM
Tags:
Acquisitions
businesses
commission
Disclosures
Dispositions
exchange
improve
proposes
securities
Comments: 0
CMS:
Finance
General Electric Agrees to Pay 1.5 Billion Dollars Penalty for Alleged Misrepresentations Concerning Subprime Loans Included in Residential Mortgage-Backed Securities
Published by
Staff Reporter 2
, 04-18-2019 09:16 PM
Tags:
1.5
agrees
alleged
Backed
billion
electric
general
Included
loans
Misrepresentations
mortgage
pay
penalty
residential
securities
Subprime
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee
Published by
Staff Reporter 2
, 04-12-2019 07:43 PM
Tags:
advisory
agenda
april
commission
committee
exchange
Fixed
Income
issues
market
meeting
securities
structure
u.s.
Comments: 0
CMS:
Finance
New Securities and Exchange Commission Campaign Educates Investors on Where and How to Get Answers
Published by
Staff Reporter 2
, 04-10-2019 10:49 PM
Tags:
Answers
campaign
commission
Educates
exchange
investors
securities
Comments: 0
CMS:
Finance
The Securities and Exchange Commission and the UK Financial Conduct Authority Sign Updated Supervisory Cooperation Arrangements
Published by
Staff Reporter 2
, 04-08-2019 06:47 AM
Tags:
arrangements
authority
commission
Conduct
cooperation
exchange
financial
securities
sign
supervisory
updated
Comments: 0
CMS:
Finance
Securities and Exchange Commission Charges College Official for Allegedly Fraudulently Concealing Financial Troubles From Municipal Bond Investors
Published by
Staff Reporter 2
, 04-01-2019 07:45 AM
Tags:
Allegedly
Bond
charges
college
commission
Concealing
exchange
financial
Fraudulently
investors
municipal
official
securities
Troubles
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Awards 50 Million Dollars to Two Whistleblowers
Published by
Staff Reporter 2
, 03-27-2019 06:30 AM
Tags:
awards
commission
dollars
exchange
million
o Two
securities
u.s.
Whistleblowers
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Announces March 28 Meeting of Investor Advisory Committee
Published by
Staff Reporter 2
, 03-14-2019 06:19 PM
Tags:
advisory
announces
commission
committee
exchange
investor
march
meeting
securities
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Share Class Initiative Returning More Than 125 Million Dollars to Investors
Published by
Staff Reporter 2
, 03-12-2019 07:12 AM
Tags:
125Million
class
commission
dollars
exchange
initiative
investors
Returning
securities
share
u.s.
Comments: 0
CMS:
Finance
Securities Firm to Return More Than 5 Million Dollars to Retail Investors and Pay Penalty Relating to Directed Brokerage Arrangements
Published by
Staff Reporter 2
, 03-06-2019 08:42 AM
Tags:
arrangements
Brokerage
Directed
dollars
Firm
investors
million
More Than 5
pay
penalty
Relating
Retail
return
securities
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Charges Founder of Online Gaming Company Defrauding Investors
Published by
Staff Reporter 2
, 02-09-2019 11:37 AM
Tags:
charges
commission
company
defrauding
exchange
founder
Gaming
investors
online
securities
u.s.
Comments: 0
CMS:
Finance
Report to the Secretary of the Treasury from the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association
Published by
Staff Reporter 2
, 02-01-2019 10:14 AM
Tags:
advisory
association
borrowing
committee
financial
industry
markets
report
secretary
securities
treasury
Comments: 0
CMS:
Finance
Minutes of the Meeting of the Treasury Borrowing Advisory Committee of the Securities Industry and Financial Markets Association January 29
Published by
Staff Reporter 2
, 01-30-2019 03:47 PM
Tags:
advisory
association
borrowing
committee
financial
industry
january
markets
meeting
minutes
securities
treasury
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CMS:
Finance
U.S. Securities and Exchange Commission Emergency Action Charges Texas Real Estate Developer for Multi-Million Dollar Offering Fraud
Published by
Staff Reporter 2
, 01-28-2019 07:25 AM
Tags:
action
charges
commission
Developer
dollar
emergency
Estate
exchange
fraud
Multi-Million
offering
Real
securities
texas
u.s.
Comments: 0
CMS:
Finance
Two Ukrainian Nationals Indicted in Computer Hacking and Securities Fraud Scheme Targeting U.S. Securities and Exchange Commission
Published by
Staff Reporter 2
, 01-16-2019 07:22 AM
Tags:
commission
computer
exchange
fraud
hacking
indicted
nationals
scheme
securities
targeting
u.s.
Ukrainian
Comments: 0
CMS:
Justice
Statement of U.S. Securities and Exchange Commission Chairman Jay Clayton on EDGAR Hacking Enforcement Action
Published by
Staff Reporter 2
, 01-16-2019 07:31 AM
Tags:
action
chairman
Clayton
commission
EDGAR
enforcement
exchange
hacking
Jay
securities
statement
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission brings Charges in EDGAR Hacking Case
Published by
Staff Reporter 2
, 01-16-2019 07:33 AM
Tags:
case
charges
commission
EDGAR
exchange
hacking
securities
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Staff Encourages Continued Engagement on Impact of Markets in Financial Instruments Directive II Research Provisions
Published by
Staff Reporter 2
, 01-01-2019 10:06 PM
Tags:
commission
Continued Engagement
Directive
encourages
exchange
financial
impact
Instruments
markets
MiFID
provisions
research
securities
staff
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Adopts Final Rules for Disclosure of Hedging Policies
Published by
Staff Reporter 2
, 12-19-2018 07:49 AM
Tags:
Adopts
commission
Disclosure
exchange
final
Hedging
policies
rules
securities
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Names Danae M. Serrano Acting Ethics Counsel and Designated Agency Ethics Official
Published by
Staff Reporter 2
, 12-12-2018 11:25 AM
Tags:
acting
agency
commission
counsel
Danae
designated
ethics
exchange
names
official
securities
Serrano
u.s.
Comments: 0
CMS:
Finance
U.S. Securities and Exchange Commission Adopts FAIR Act Rules Promoting Research Reports on Investment Funds
Published by
Staff Reporter 2
, 12-03-2018 06:49 AM
Tags:
commission
Adopts
act
u.s.
securities
rules
research
reports
Promoting
investment
funds
fair
exchange
Comments: 0
CMS:
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