Regulation
House Democrats Express Misgivings About Some Market Structure Proposals
House Republicans have opposed these proposals for some time, but Democratic skepticism is also emerging.
Tag: SEC
Regulation
Republican Spending Bill Would Cut SEC Budget, Block Market Structure Proposals
The legislation would also cut spending by the SEC and the IRS, targeting the agencies’ enforcement budgets.
Regulation
Pensions, Asset Managers Broadly Support Tick-Size, Access Fee Updates
The SEC proposed reducing exchange access fees and pricing increments for tick-constrained symbols in December 2022.
Regulation
Bill to Protect Older Investors Against Scams Passes House
The proposed legislation would create a senior investor task force within the SEC.
Regulation
SEC Charges Binance, Coinbase as Unregistered Exchanges
SEC Chairman Gary Gensler continues his enforcement efforts against cryptocurrency trading platforms.
Regulation
SEC Approves Amendments Limiting Use of Credit Ratings
The SEC will no longer consider ratings as part of its definition of ‘investment grade’ under Regulation M.
Regulation
Comments Ask SEC to Modify Disclosure Requirements for Cyberattacks
Industry leaders also asked that the SEC harmonize the proposals and related disclosures.
Regulation
SEC Staff to Provide Recommendations on AI Regulations, Says Chairman Gensler
AI has been a topic of interest for Gensler lately, and this likely marks the first confirmation that the SEC is already working on the issue.
Regulation
Chamber of Commerce Sues SEC to Stop Stock Buyback Disclosure Rule
The business advocacy group says the SEC is trying to deter stock buybacks by making them more time-consuming, not trying to protect investors.
Risk
SEC Charges Investment Firm for Fraudulent Coin Scam
Red Rock Secured allegedly tricked victims into selling off 401(k) assets to invest in coins at an exorbitant markup.
Regulation
FINRA, SEC Detail Enforcement Priorities in Reg BI, BE Exams
Officials from the two regulatory groups outlined common missteps discovered while enforcing regulations covering conflicts of interest and trade execution.
Regulation
SEC Chairman Stresses Importance of Regs BI, BE at FINRA Conference
Gensler also defended the SEC’s market structure proposals and discussed the future of artificial intelligence in the financial industry.
Regulation
Comment Period for SEC’s New Safeguarding Rule Expires Monday
The rule would apply beyond securities to assets such as cryptocurrency and commodities.
Regulation
SEC Adopts Amendments to Form PF
Certain hedge fund and private equity fund advisers will now have to report specific triggering events to the SEC.
News
Coinbase Keeps Expanding Despite Financial, Regulatory Woes
Battered crypto exchange sets up international operation, even as SEC scrutinizes its business practices.