364 results about this entity
Period: 18 Oct 2004 - 24 Sep 2024
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.
02 October 2017
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.
26 September 2017
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.
21 September 2017
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.
12 September 2017
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.
08 September 2017
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.
24 August 2017
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.
17 August 2017
The Securities and Exchange Commission (SEC) must do more to improve its defences against cyber attacks, says the US Government Accountability Office (GAO).
28 July 2017
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.
26 July 2017
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".
20 June 2017
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.
01 June 2017
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.
12 May 2017
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