Search results
SEC sued over broker-dealer texting fines data
InvestmentNews· 2 hours agoA lawsuit filed today against the SEC seeks information about how the agency has calculated billions of dollars in fines against broker-dealers for...
Relief for Non-U.S. Investment Advisers: SEC Clarifies the Extraterritorial Limits of the New...
The National Law Review· 3 hours agoOn August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted its highly...
SEC sued by trade association for details on record-keeping probe
Reuters· 1 hour agoThe SEC has filed administrative complaints against dozens of firms...
SEC chair Gensler says spot Etheruem ETF launch timeline depends on applicants' speed
CryptoSlate· 2 hours agoSEC chair Gary Gensler said that spot Ethereum ETF launch dates depend on the speed at which issuers...
SEC to close Salt Lake office after ‘gross abuse of power’ in Utah crypto case
Deseret News via Yahoo News· 4 hours agoThe closure of the Salt Lake office follows the case a judge called "deeply troubling," leading to...
Mind SEC’s new data breach rules, says Finra - InvestmentNews
InvestmentNews· 2 hours agoFinra is calling on all its member firms to take heed and take action as new SEC rules that stiffen...
Top College Football Head Coach Has Strong Remarks On SEC Expansion
Athlon Sports· 5 hours agoThe SEC has arguably been the top college football conference for the past 15-20 seasons. With the...
Keith 'Roaring Kitty' Gill posts $586 million GameStop (GME) portfolio screenshot in new YOLO update
Shacknews· 1 hour agoGameStop investor Keith 'Roaring Kitty' has disclosed the value of his portfolio on the r/Supestonk...
Fisker Inc. bankruptcy looms as latest SEC filing shows it has defaulted on a $3.5 million loan
Electrek· 5 hours agoA recent 8-K filing submitted by Fisker Inc. is painting a grim picture for the EV automaker’s...
A public demise for the SEC’s private fund rules
Politico· 10 hours agoThe POLITICO Pro platform combines the news you need with tools you can use to take action on the day’s biggest stories. Act on the news with POLITICO Pro. NEW YORK — A cornerstone of