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Keyword: Regulation

618 results found
gavel

Investor's sophistication at issue in unregistered trading scheme

US Capitol Building, Washington DC, USA

The choice for SEC chair signals a more activist role after a deregulatory stretch during the Trump administration

Image of dark night with lightning above stormy sea

The regulator wants to ensure the industry is capable of absorbing risks

11119737 - in the spotlight featuring concept for the theater stage with glowing lights on red velvet cinema curtain and drapes representing the entertainment communications concept of an important announcement in a rich cinema and theatrical environment.

Committee provides feedback on compliance and policy issues

Lawyer writing in legal book

Issues related to the SolarWinds cybersecurity incident should be reported

Three new members have joined the securities proceedings committee

Lawyer writing in legal book

The process would ideally expedite resolution of claims

  • By: Staff
  • December 23, 2020 December 23, 2020
  • 15:37

OFSI superintendent will not seek a second term

Abstract,Golden Bitcoin money on computer.

SRO seeks volunteers with crypto experience for working group

Communication network concept. Multiple exposure.

MFDA to continue accepting documents from dealers in electronic format