Tag: SEC
US asset managers apply to SEC for bitcoin ETFs
Several major asset managers, including BlackRock, WisdomTree, and Invesco, have applied to the U.S. Securities and Exchange Commission (SEC)...
SEC: Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities Markets
SEC: Proposes New Requirements to Address Cybersecurity Risks to the U.S. Securities MarketsSEC proposed requirements for broker-dealers, clearing...
SEC: Updates Electronic Filing Requirements
SEC: Updates Electronic Filing RequirementsSEC announced that it adopted amendments to require certain forms that currently are permitted...
SEC: Charges Five Russians in $80 Million Hacking and Trading Scheme
SEC: Charges Five Russians in $80 Million Hacking and Trading SchemeSEC announced fraud charges against five Russian nationals...
SEC: Appoints Haoxiang Zhu Director of Division of Trading and Markets
SEC: Appoints Haoxiang Zhu Director of Division of Trading and MarketsSEC announced the appointment of Haoxiang Zhu, a...
SEC: Proposes Updates to Electronic Recordkeeping Requirements
SEC: Proposes Updates to Electronic Recordkeeping RequirementsSEC is to protect investors, maintain fair, orderly, and efficient markets, and...
SEC: Charges DeFi company for defrauding investors out of $30 million
SEC: Charges DeFi company for defrauding investors out of $30 millionSEC is to protect investors, maintain fair, orderly,...
SEC: Forces UBS to return $8 million to investors in complex ETF product
SEC: Forces UBS to return $8 million to investors in complex ETF productSEC filed a settled action against...
SEC: FinHub becomes standalone office
The SEC announced that the SEC's Strategic Hub for Innovation and Financial Technology, commonly referred to as FinHub
...
SEC: Adopts Amendments to the CAT NMS Plan
SEC: Adopts Amendments to the CAT NMS PlanAdopts Amendments to the CAT NMS Plan to Improve Transparency and...