27 July 2017
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Latest articles for Securities and Exchange Commission (SEC)

 

SEC deems DAO tokens and ICOs as securities

13 hours ago  |  2014 views  |  0 Company announcement

The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets by "virtual" organizations are subject to the requirements of the federal securities laws.

 

OTC Markets cries foul over SEC funding demands

20 June 2017  |  5192 views  |  0 News

Alternative trading system (ATS) operator OTC Markets Group has argued that the Securities and Exchange Commission should revise the proposed fee schedule for the Consolidated Audit Trail (CAT) system the SEC is creating to monitor trading in all exchange-listed equities and options following the 2010 "flash crash".

 

AQMetrics updates platform for new SEC investment company reporting rules

01 June 2017  |  2882 views  |  0 Company announcement

Leading RegTech company, AQMetrics, today announced new enhancements to its cloud-based platform. The updates will provide registered fund clients with updated forms and an advanced risk analytics and monitoring portal to ensure compliance with the Securities and Exchange Commission’s (SEC) new reporting regulations.

 

Chinese hackers made $3 million trading on confidential M&A data swiped from corporate lawyers

12 May 2017  |  8005 views  |  0 News

Three Chinese citizens who traded on insider information by hacking into the systems of two New York-based law firms have been fined $8.8 million by the Securities and Exchange Commission.

 

DTCC repo clearing service gets regulatory approval

02 May 2017  |  2846 views  |  0 Company announcement

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that the Securities and Exchange Commission (SEC) has approved rule changes allowing its Fixed Income Clearing Corporation (FICC) subsidiary to expand the availability of central clearing in the repo market, strengthening both the safety and efficiency of the marketplace.

 

SEC issues fake news crackdown

11 April 2017  |  4131 views  |  1 News

The US securities watchdog has issued a series of fines and penalties to individuals and entities for submitting hundreds of articles to financial websites which purported to be impartial endorsements of certain companies but which were secretly paid-for

 

SEC adopts T+2 settlement cycle for securities transactions

22 March 2017  |  2653 views  |  0 Company announcement

The Securities and Exchange Commission today adopted an amendment to shorten by one business day the standard settlement cycle for most broker-dealer securities transactions.

 

US SROs pick Thesys to build massive audit trail

18 January 2017  |  6120 views  |  0 News

Thesys Technologies has won the bidding to build a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

 

MPI wins mutual fund surveillance contract from SEC

16 November 2016  |  1773 views  |  0 Company announcement

Markov Processes International, Inc., (MPI), a global FinTech provider, today announced that it has been awarded a contract by the U.S. Securities & Exchange Commission (SEC).

 

SEC pushes through plans to build giant audit trail

16 November 2016  |  4284 views  |  1 News

The Securities and Exchange Commission has approved plans to create a vast Consolidated Audit Trail (CAT) tracking transactions as they pass through US equity and options markets.

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