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Securities and Exchange Commission (SEC)
Tag: Securities and Exchange Commission (SEC)
SEC enforcement director Gurbir Grewal steps down
Alex Pugh
-
October 3, 2024
0
SEC orders 11 firms to pay $88m over widespread recordkeeping failures
Alex Pugh
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September 25, 2024
0
Exchanges weigh impact of lower fee caps, transparency
Lucy Carter
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September 24, 2024
0
TD’s Masrani steps down amid regulatory turmoil; Chun named successor
Lucy Carter
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September 20, 2024
0
Firms hit with CFTC, SEC recordkeeping and communication failure finesÂ
Alex Pugh
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August 15, 2024
0
SEC proposes joint data standards
Alex Pugh
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August 7, 2024
0
Row erupts as CBOE seeks to define exchange boundaries
Dan Barnes
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July 22, 2024
0
Regulatory Round-up June
Alex Pugh
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June 27, 2024
0
The new GameStop surge: Is this time different?
Alex Pugh
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June 4, 2024
0
Regulatory Round-Up
Alex Pugh
-
May 16, 2024
0
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