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SEC Enforcement Director Grewal Doubles Down on Encouraging Self-Reporting | JD Supra
JD Supra· 7 days agoSEC continues to strongly encourage voluntary self-reporting for firms that uncover misconduct. In a recent interview with Law360[1], Securities and Exchange Commission (& ...
SEC Enforcement Chief: 'It's No Longer Really a Question of If We'll Find Out About a Violation, but...
Law.com· 4 days ago“The most frequent question I get asked is, ‘What are the benefits of cooperating with the SEC?’”...
SEC Fines Parent of NYSE $10M, Says It Failed to Immediately Disclose Cyber Incident | Corporate...
Law.com· 5 days agoReceiving immediate notification is critical because of the potential that the SEC would need to...
NYSE parent fined $10M for breach reporting failure
The Register· 5 days agoThe New York Stock Exchange's parent company has just been hit with a $10 million fine for failing to properly inform the Securities and Exchange...
Montenegrin Justice Minister discussed Do Kwon’s case with SEC
The Cointelegraph· 5 days agoStates Securities and Exchange Commission (SEC). In a May 22 notice, Montenegro’s government said Milović had met with SEC personnel, including Enforcement ...
The SEC slaps NYSE's parent company with a $10M fine for not immediately reporting a hack
ZDNet· 4 days agoThe US Securities and Exchange Commission (SEC) has slapped the Intercontinental Exchange (ICE) with...
SEC orders Intercontinental Exchange to pay $10M over Reg SCI violations
Compliance Week· 6 days agoIntercontinental and its nine affiliates, including the New York Stock Exchange (NYSE), agreed to...
SEC Fines NYSE Parent Intercontinental Exchange $10M Over Cyber Incident
Insurance Journal· 5 days agoThe U.S. Securities and Exchange Commission (SEC) on May 22 said Atlanta-based Intercontinental...
Is It Too Late to Buy Trump Media Stock Now?
Motley Fool via Yahoo Finance· 4 days agoGurbir Grewal, the SEC's enforcement-division director, alleged that BF Borgers and its owner, Benjamin Borgers, were "responsible for ...
SEC Fines NYSE Owner $10 Million for Not Quickly Reporting Hack
Bloomberg via Yahoo Finance· 6 days ago..., Inc., which owns the New York Stock Exchange, agreed to pay $10 million to settle Securities...
