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Tag: exchange

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  1. Cathay Securities Investment Trust Selects ICE FactSet Global Top 50 Brands Index for New ETF

    Published by MoreHere Reporter 3, 09-27-2022 11:20 PM Tags: Brands  Cathay  ETF  exchange  FactSet  global  ICE  index  Intercontinental  investment  securities  selects  top  trust 
    • Comments: 0

    CMS:
    Business

  2. The New York Stock Exchange and Tokyo Stock Exchange Announce New Collaboration to Support Cross-Border Investment Between the U.S. and Japan

    Published by MoreHere Reporter 3, 09-23-2022 05:29 AM Tags: announce  Collaboration  Cross-Border  exchange  investment  japan  stock  support  Tokyo  u.s.  york 
    • Comments: 0

    CMS:
    Business

  3. SEC Charges Hudson Advisors and Lone Star Global for allegedly Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability

    Published by MoreHere Reporter 3, 09-21-2022 01:21 AM Tags: Advisors  Allegedly  charges  commission  disclose  exchange  failing  fees  fund  global  Hudson  Included  Income  Liability  Lone  million  Owner’s  SEC  securities  Star  tax  u.s. 
    • Comments: 0

    CMS:
    Finance

  4. SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services

    Published by MoreHere Reporter 3, 09-16-2022 09:08 PM Tags: Add  applications  assets  commission  corporation  Crypto  division  exchange  finance  focused  industrial  industry  offices  securities  services  u.s. 
    • Comments: 0

    CMS:
    Finance

  5. SEC Adopts JOBS Act Inflation Adjustments

    Published by MoreHere Reporter 3, 09-13-2022 11:52 AM Tags: act  adjustments  Adopts  commission  exchange  Inflation  jobs  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  6. ICE Benchmark Administration Consults on Potential Cessation of ICE Swap Rate® based on USD LIBOR

    Published by MoreHere Reporter 3, 09-09-2022 07:39 PM Tags: administration  Benchmark  Cessation  Consults  exchange  f ICE  inc.  Intercontinental  LIBOR  potential  Rate® based  Swap  USD 
    • Comments: 0

    CMS:
    Finance

  7. SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than 75 Million Dollars

    Published by MoreHere Reporter 3, 09-09-2022 06:53 PM Tags: advisory  charges  Clients  commission  defraud  Devising  Elaborate  exchange  executives  Firm  million  scheme  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  8. SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips

    Published by MoreHere Reporter 3, 09-07-2022 06:51 PM Tags: Amends  commission  exchange  Incentivize  rules  securities  tips  u.s.  whistleblower 
    • Comments: 0

    CMS:
    Finance

  9. Intercontinental Exchange Reports August 2022 Statistics

    Published by MoreHere Reporter 3, 09-07-2022 04:44 PM Tags: 2022  August  exchange  Intercontinental  reports  statistics 
    • Comments: 0

    CMS:
    Finance

  10. SEC Issues First Fee Rate Advisory for Fiscal Year 2023

    Published by MoreHere Reporter 3, 09-05-2022 08:33 AM Tags: 2023  advisory  commission  exchange  fee  fiscal  issues  rate  securities  u.s.  year 
    • Comments: 0

    CMS:
    Finance

  11. SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts

    Published by MoreHere Reporter 3, 08-17-2022 11:16 PM Tags: accounts  Brokerage  charges  commission  defendants  exchange  hacked  manipulate  n International  scheme  SEC  stocks  U.S. Securities 
    • Comments: 0

    CMS:
    Finance

  12. SEC Charges Eleven Individuals in alleged 300 Million Dollars Crypto Pyramid Scheme

    Published by MoreHere Reporter 3, 08-13-2022 12:17 AM Tags: $300 Million  alleged  charges  commission  Crypto  Eleven  exchange  individuals  Pyramid  scheme  SEC  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  13. Jaime Lizárraga Sworn In as SEC Commissioner

    Published by MoreHere Reporter 3, 07-20-2022 02:42 AM Tags: commission  commissioner  exchange  Jaime  Lizárraga  securities  sworn  u.s. 
    • Comments: 0

    CMS:
    Finance

  14. SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers

    Published by MoreHere Reporter 3, 07-12-2022 03:18 PM Tags: Adopts  Advisers  commission  electronic  exchange  filing  Institutional  investment  Managers  Require  rules  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  15. U.S. Securities and Exchange Commission Charges Global Steel Pipe Manufacturer with Violating Foreign Corrupt Practices Act

    Published by MoreHere Reporter 3, 06-07-2022 06:33 PM Tags: act  Charges Global  commission  corrupt  exchange  foreign  manufacturer  Pipe  practices  securities  steel  u.s.  Violating 
    • Comments: 0

    CMS:
    Finance

  16. U.S. Securities and Exchange Commission Updates List of Firms it says are Using Inaccurate Information to Solicit Investors

    Published by MoreHere Reporter 3, 04-26-2022 01:36 PM Tags: commission  exchange  firms  Inaccurate  information  investors  list  securities  Solicit  u.s.  updates 
    • Comments: 0

    CMS:
    Directory

  17. U.S. Securities and Exchange Commission announces Fee Rate Advisory Number1 for Fiscal Year 2022

    Published by MoreHere Reporter 3, 04-14-2022 10:47 AM Tags: 2022  advisory  announces  commission  exchange  fee  Number  r Fiscal  rate  securities  u.s.  year 
    • Comments: 0

    CMS:
    Finance

  18. U.S. Securities and Exchange Commission Division of Examinations Announces 2022 Examination Priorities

    Published by MoreHere Reporter 3, 04-13-2022 02:15 PM Tags: 2022  announces  commission  division  Examination  examinations  exchange  Priorities  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  19. SEC Proposes Rules for the Registration and Regulation of Security-Based Swap Execution Facilities

    Published by MoreHere Reporter 3, 04-12-2022 08:32 AM Tags: commission  exchange  Execution  facilities  proposes  registration  regulation  rules  securities  Security-Based  Swap  u.s. 
    • Comments: 0

    CMS:
    The Front Page

  20. SEC to Host Free Virtual Outreach Event to Help Older Adults and Their Caregivers Avoid Financial Fraud

    Published by MoreHere Reporter 3, 03-30-2022 11:45 PM Tags: adults  commission  event  exchange  financial  fraud  free  host  Older  outreach  securities  Their Caregivers  u.s.  virtual 
    • Comments: 0

    CMS:
    Seniors

  21. SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising

    Published by Staff Reporter 2, 10-12-2020 05:12 AM Tags: small  securities  SEC  Raising  proposes  Finders  Exemption  exchange  Conditional  commission  capital  businesses  assisting 
    • Comments: 0

    CMS:
    Finance

  22. U.S. Securities and Exchange Commission Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K

    Published by Staff Reporter 2, 08-14-2019 07:50 AM Tags: business  commission  Disclosures  exchange  Factors  legal  modernize  Proceedings  proposes  regulation  risk  S-K  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  23. U.S. Securities and Exchange Commission Announces Agenda and Panelists for 2019 Small Business Forum in Omaha

    Published by Staff Reporter 2, 08-12-2019 04:28 PM Tags: 2019  agenda  announces  business  commission  exchange  forum  omaha  Panelists  securities  small  u.s. 
    • Comments: 0

    CMS:
    Finance

  24. U.S. Securities and Exchange Commission Adopts Amendments to Codify Exemption to Credit Rating Agency Rule

    Published by Staff Reporter 2, 08-09-2019 09:46 AM Tags: Adopts  agency  amendments  Codify  commission  credit  exchange  Exemption  rating  rule  securities  u.s. 
    • Comments: 0

    CMS:
    Finance

  25. U.S. Securities and Exchange Commission Chairman Clayton Announces Event for Main Street Investors in Chicago

    Published by Staff Reporter 2, 08-06-2019 06:27 PM Tags: announces  chairman  Chicago  Clayton  commission  event  exchange  investors  Main  securities  street  u.s. 
    • Comments: 0

    CMS:
    Finance

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