17 January 2018
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Latest articles for Securities and Exchange Commission (SEC)

 

SEC chief issues cryptocurrency and ICO investor warning

12 December 2017  |  6463 views  |  1 News

The head of the Securities and Exchange Commission has warned Americans tempted by the current frenzy surrounding cryptocurrencies and initial coin offerings (ICOs) to beware of fraud and manipulation risks.

 

SEC files ICO fraud charges

04 December 2017  |  6219 views  |  0 News

The Securities Exchange Commission's new cyber unit has filed its first charges, winning an emergency asset freeze to stop an initial coin offering (ICO) that raised $15 million from investors.

 

SEC and exchanges in spat over surveillance system

15 November 2017  |  7639 views  |  0 News

A row has broken out between the US capital markets watchdog and a number of exchanges over the plan to impose a new market surveillance system on the US equities and options market.

 

SEC takes aim at celebrity endorsements of investment products

02 November 2017  |  2290 views  |  0 Company announcement

Celebrities and others are using social media networks to encourage the public to purchase stocks and other investments.

 

SEC data breach: hackers accessed personal information

02 October 2017  |  5946 views  |  0 News

The Securities and Exchange Commission says that crooks may have accessed the personal information of two people during the 2016 breach at its Edgar corporate disclosure database.

 

SEC chair Clayton updates on breach probe

02 October 2017  |  2658 views  |  0 Company announcement

SEC Chairman Jay Clayton today provided an update on the status of the agency’s review and investigation of the 2016 intrusion into the EDGAR system.

 

SEC sets up cyber enforcement division

26 September 2017  |  3516 views  |  0 Company announcement

The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to address cyber-based threats and protect retail investors.

 

SEC says hackers may have profited from 2016 breach

21 September 2017  |  6455 views  |  0 News

Wall Street's top regulator says that a 2016 breach at its corporate disclosure database may have enabled hackers to profit from trading on inside information.

 

SEC issues statement on T+2 implementation

12 September 2017  |  1765 views  |  0 Company announcement

Last week, on September 5, 2017, the securities industry successfully implemented a shortened settlement cycle for most securities transactions, pursuant to amendments to Rule 15c6-1 that the Commission adopted earlier this year.

 

SEC slaps $35 million fine on State Street for order handling deceptions

08 September 2017  |  4641 views  |  0 Company announcement

The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. Treasury securities.

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