Regulation
SEC Monitoring Effects of Hurricane Milton on Capital Markets
The agency will evaluate granting relief from filing deadlines to firms affected by the hurricane.
Tag: SEC
Regulation
Investor Groups Petition SEC to Cut 13F Reporting Timeline to 5 Days
Information is out of date under the current 45-day timeline, per the NYSE and two investment professional groups.
Risk
Cyber Attackers Targeted 10% of Russell 3000 Companies in 2022-23, Study Says
Many corporations outsource their IT functions, which makes them especially vulnerable, an ISS report finds.
Regulation
Corporate Raider Icahn Fined $2M for Disclosure Failure
The investor agreed to fines for not reporting he had borrowed against his stake in an investment firm he controls.
Regulation
SEC’s Best Takes Leave Again to ‘Focus on His Health’
Keith Cassidy will serve as interim acting director of the regulator’s examinations division, as Best takes second medical leave in a year.
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.
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.