SEC Actions

The SEC’s still open derivatives rulemaking notice may well be a glimpse into how the Commission will regulate money market and exchange-traded funds, Division of ...

A divided SEC has approved new rules giving Commissioners discretion to raise or lower awards to whistleblowers, ending one of the most contentious rulemaking efforts ...

Although Haupt conducted certain reviews of GGHC’s trading in 2017, she conducted no reviews for excessive trading or the impact of GGHC’s trading strategies or ...

Rule 15c3-l, promulgated thereunder (the “net capital rule”), requires that a broker-dealer “at all times have and maintain net capital” no less than the greatest ...

Respondent has submitted a sworn Statement of Financial Condition, dated February 29, 2020, supplemented as of June 30, 2020, and other evidence and has asserted ...

A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...

SEC Chairman Jay Clayton is telling fellow commissioners that he wants to complete an overhaul of the decades-old advertising rule by the end of the ...

Proposed Rule 15(a)(2) would specify that the Commission may prevent the submission to EDGAR of any submission that poses a cybersecurity threat, including but not ...

The Commission is adopting amendments to Rule 15c2-11, which sets out certain requirements for a broker-dealer seeking to initiate (or resume) quotations for securities in ...

Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives