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Mind SEC’s new data breach rules, says Finra - InvestmentNews
InvestmentNews· 42 minutes agoFinra is calling on all its member firms to take heed and take action as new SEC rules that stiffen...
SEC to close Salt Lake office after ‘gross abuse of power’ in Utah crypto case
Deseret News via Yahoo News· 3 hours agoThe closure of the Salt Lake office follows the case a judge called "deeply troubling," leading to...
SEC chair Gensler says spot Etheruem ETF launch timeline depends on applicants' speed
CryptoSlate· 54 minutes agoSEC chair Gary Gensler said that spot Ethereum ETF launch dates depend on the speed at which issuers...
Relief for Non-U.S. Investment Advisers: SEC Clarifies the Extraterritorial Limits of the New...
The National Law Review· 2 hours agoOn August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted its highly...
Unfazed by likely SEC lawsuit, Robinhood just forked over $200 million to buy a crypto exchange
Fortune· 37 minutes agoThe financial services company said Thursday it would buy BitStamp for $200 million in cash to help it expand its crypto business worldwide. Founded in Slovenia in 2011, BitStamp has a major ...
‘Why us?’ SEC lists reasons it conducts examinations of broker-dealers
Compliance Week· 16 hours agoThe risk alert, published Wednesday by the SEC’s Division of Examinations, attempted to answer the...
Top College Football Head Coach Has Strong Remarks On SEC Expansion
Athlon Sports· 4 hours agoThe SEC has arguably been the top college football conference for the past 15-20 seasons. With the...
'Ponzi schemes are done in the open by bad people' - InvestmentNews
InvestmentNews· 44 minutes agoSEC bars advisors who worked with Georgia Ponzi broker.
SEC sued over broker-dealer texting fines data
InvestmentNews· 53 minutes agoA lawsuit against the SEC asks how the agency calculated billions of dollars in fines against broker-dealers for off-channel communications.
Fifth Circuit Strikes Down Private Fund Adviser Rules
The National Law Review· 2 hours agoThe rules had been heavily criticized by private fund advisers and various related industry groups as being unduly burdensome and costly and were widely viewed as among the most significant ...
