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.
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".
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.
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.
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.
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
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.
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.
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).
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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