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SEC and FinCEN Propose Rules to Impose Customer Identification Program Obligations on Certain...
JD Supra· 6 days agoUnder the CIP Rules, each RIA and ERA would be required to “establish, document and maintain a written customer identification program (CIP) appropriate for its size and business...
SEC Gives Former BF Borger Clients More Time to File Reports
Bloomberg Law· 6 days agoFormer clients of shuttered audit firm BF Borgers will get a small reprieve from SEC filing deadlines as they hire replacement auditors to review their quarterly results.
NYSE parent fined $10M for breach reporting failure
The Register· 5 days agoIn an order published today, the SEC said that Intercontinental Exchange (ICE) will pay the penalty to settle charges it caused nine subsidiaries - the...
US SEC approves exchange applications to list spot ether ETFs
AOL· 4 days ago(Reuters) -The U.S. Securities and Exchange Commission (SEC) on Thursday approved applications from Nasdaq, CBOE and NYSE to list exchange-traded funds (ETFs) tied to the ...
Big Ten and SEC are again the top conferences in revenue with athlete pay plan on horizon
WTVY Dothan· 3 days agoThe five leagues combined to generate $3.55 billion in the 2022-23 fiscal year, with the Big Ten ...
Big Ten, SEC are top conferences in revenue with athlete pay plan on horizon
Fox Sports· 3 days agoThe five leagues combined to generate $3.55 billion in the 2022-23 fiscal year, with the Big Ten ...
SEC official clarifies material incident reporting under new cyber rule
Compliance Week· 6 days agoErik Gerding cautioned companies against using the new 8-K filing item under the rule (Item 1.05)...
SEC and FinCEN Propose Rule Requiring Investment Advisers to Enact Customer Identification Programs...
JD Supra· 5 days agoThe rule would apply to registered investment advisers (RIAs), meaning those registered or required to be registered with the SEC under the Investment Advisers Act of 1940 ...
Commerce Bank Has $3.83 Million Stock Position in West Pharmaceutical Services, Inc. (NYSE:WST)
ETF DAILY NEWS· 9 hours agoThe firm owned 10,863 shares of the medical instruments supplier’s stock after acquiring an additional 640 shares during the quarter...Bank’s holdings in West Pharmaceutical Services were worth ...
Big Ten, SEC top conferences in revenue with athlete pay plan on horizon
Pittsburgh Tribune-Review· 3 days agoThe five leagues combined to generate $3.55 billion in the 2022-23 fiscal year, with the Big Ten ...