Securities and Exchange Commission (SEC)

367 results about this entity

Period: 18 Oct 2004 - 16 Dec 2024

SEC and exchanges in spat over surveillance system

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

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

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

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

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

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

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

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.

SEC suspends trading in First Bitcoin Capital

The Securities and Exchange Commission has suspended trading in the shares of First Bitcoin Capital Corp, in part because of concerns over the "accuracy and adequacy" of public information about the firm's assets and capital structure.

SEC places New York bank IT man at centre of insider trading scheme

The Securities and Exchange Commission has charged seven individuals with insider trading based on tips allegedly received from an IT consultant who worked on an M&A database at a large un-named New York bank.

SEC told to improve cyber attack defences

The Securities and Exchange Commission (SEC) must do more to improve its defences against cyber attacks, says the US Government Accountability Office (GAO).

SEC deems DAO tokens and ICOs as securities

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.