SEC rule Financial News

08.05 / 22:09

markets FIVE SEC security Parke Bill International SEC rule With SEC rule changes looming, money funds start shifting their holdings

Funds are starting to shift their holdings in the $6 trillion US money market ahead of a spate of new rules that will likely boost demand for government securities at the expense of riskier assets.

30.10 / 15:45

SEC JPMorgan Nov pandemic show 2020 reports SEC rule In the Market-Treasury market braces for seismic SEC rule

By Paritosh Bansal

04.10 / 22:29

Target SEC CEO Strategy prevention NOT SEC rule House turmoil not likely to quiet GOP critics of SEC rule proposals

House Republicans may have shot themselves in the foot this week with the historic ouster of Speaker Kevin McCarthy but that doesn’t mean they’ll be taking their aim off the SEC.

24.08 / 01:27

Provident Williams SEC voice compliance SEC rule Advisors must document annual compliance review in writing under new SEC rule

Buried deep within a regulation that increases scrutiny of private-fund advisors is a rule that applies to all investment advisors and requires that advisors document their annual compliance review.

27.07 / 04:27

COST Digital SEC CEO SEC rule New SEC rule requires public companies to disclose cybersecurity breaches in 4 days

The Securities and Exchange Commission has adopted rules to require public companies to disclose within four days all cybersecurity breaches that could affect their bottom lines

13.02 / 15:51

Target SEC Action SEC rule SEC rule set to root out insider trading loopholes

For the last two decades, officers and directors at US public companies seeking to trade illicitly on inside information had an almost infallible get-out-of-jail-free card.

22.11 / 03:33

COST SEC SEC rule Customers The SEC rule that stands to cost FTX crypto customers billions

Hal Scott is an emeritus professor at Harvard Law School and director of the Committee on Capital Markets Regulation. John Gulliver is the committee’s research director

05.02 / 17:59

Government Law SEC Threat SEC rule Stealth rulemaking: Is proposed SEC rule with no mention of crypto a threat to DeFi?

On Jan. 26, the United States Securities and Exchange Commission proposed amendments to Rule 3b-16 under the Exchange Act that lacks any mention of digital assets or decentralized finance, which could adversely affect platforms that facilitate crypto transactions. Some cryptocurrency advocates — including SEC Commissioner Hester Peirce — believe that the commission’s extended definition of an exchange could thrust an entire class of crypto entities under the regulator’s jurisdiction, subjecting them to additional registration and reporting burdens. How real is the threat?

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