Securities and Exchange Commission (SEC)

350 results about this entity

Period: 18 Oct 2004 - 20 Mar 2024

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Austin Gerig named as SEC's chief data officer

The Securities and Exchange Commission today announced that it has named Austin Gerig as its Chief Data Officer.

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SEC proposes changes to governance of market data

The Securities and Exchange Commission is seeking public comment on a proposed order to modernize the governance of National Market System (NMS) plans that produce public consolidated equity market data and disseminate trade and quote data from trading venues.

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MayStreet to provide market data for SEC Midas platform

MayStreet, a modern market data platform engineered to deliver the highest-quality, most complete capital markets data commercially available, today announced it has assumed the role of market data provider for the U.S. Securities and Exchange Commission’s (SEC) Market Information Data Analytics System (MIDAS).

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US financial regulators join Global Financial Innovation Network

The Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and the Securities and Exchange Commission (SEC) today announced joining the Global Financial Innovation Network (GFIN).

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US regulators issue statement on digital asset AML obligations

The leaders of the U.S. Commodity Futures Trading Commission, the Financial Crimes Enforcement Network, and the U.S. Securities and Exchange Commission (the “Agencies”) today issued the following joint statement to remind persons engaged in activities involving digital assets of their anti-money laundering and countering the financing of terrorism (AML/CFT)obligations under the Bank Secrecy Act (BSA).[1]

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SEC files amendments to CAT NMS Plan

The Securities and Exchange Commission today voted to propose amendments to the national market system plan governing the Consolidated Audit Trail (the “CAT NMS Plan”).

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SEC charges Bitqyck founders with operating unregistered digital asset exchange

The Securities and Exchange Commission today announced settled charges with Bitqyck Inc. and its founders, who allegedly defrauded investors in securities offerings of two digital assets, Bitqy and BitqyM, and operated an unregistered exchange to permit trading in one of them, a digital token called Bitqy.

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SEC gets freeze on assets in alleged fraudulent token offering

The Securities and Exchange Commission announced fraud charges against a Brooklyn individual and two entities under his control who allegedly engaged in a fraudulent scheme to sell digital securities to investors and to manipulate the market for those securities.

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US regulators seek to clarify digital asset custody rules

Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation — including custody—of digital asset securities1 and transactions.

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SEC charges Kik Interactive over unregistered $100m ICO

The Securities and Exchange Commission today sued Kik Interactive Inc. for conducting an illegal $100 million securities offering of digital tokens.

SEC creates framework for analysis of digital assets

Blockchain and distributed ledger technology can catalyze a wide range of innovation. We have seen these technologies used to create financial instruments, sometimes in the form of tokens or coins that can provide investment opportunities like those offered through more traditional forms of securities.

SEC publishes digital assets framework

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SEC publishes digital assets framework

The Securities and Exchange Commission has moved to clear up some of the regulatory confusion over digital assets by publishing a framework for analysing whether they are offered and sold as investment contracts and, therefore, are securities.

DTCC to expand Sponsored Service

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced its proposal to expand the Sponsored Service of its subsidiary Fixed Income Clearing Corporation (FICC) has been approved by the Securities and Exchange Commission (SEC).

SEC to hold DLT and digital asset-focused public forum

The Securities and Exchange Commission today announced that its staff will host a public forum focusing on distributed ledger technology (DLT) and digital assets on May 31, 2019.

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Gladius Network settles with SEC over unregistered ICO

The Securities and Exchange Commission today charged Gladius Network LLC with conducting an unregistered initial coin offering (ICO), which the company self-reported to the SEC.

US reports record surge in electronic trading data

US reports record surge in electronic trading data

Greater use of electronic trading and market volatility saw a record surge in trading data reported by the US capital markets watchdog in 2018, raising questions about regulators' ability to successfully and safely monitor markets.

SEC seeks help on blockchain data

SEC seeks help on blockchain data

The Securities and Exchange Commission (SEC) is inviting bids from firms that can build a tool that lets it review data from the most widely used blockchain ledgers in order to help it monitor risk and compliance, and inform policy, related to cryptocurrencies.

US makes charges in SEC hacking scheme

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US makes charges in SEC hacking scheme

US authorities have filed charges alleging crooks hacked into a Securities and Exchange Commission database to gain access to non-public information that was then used to make millions of dollars through illicit trades.

US shutdown impacts fintech market

US shutdown impacts fintech market

The ongoing shutdown of the US government, sparked by a disagreement over funding for border security, is starting to impinge on the US fintech industry, according to reports.

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SEC fines Floyd Mayweather and DJ Khaled over ICO promotions

The Securities and Exchange Commission today announced settled charges against professional boxer Floyd Mayweather Jr. and music producer Khaled Khaled, known as DJ Khaled, for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs).

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