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SEC proposes new data security rules to protect securities traders
The Securities and Exchange Commission has announced plans to amend the data security rules surrounding US securities trading.
US SEC issues $5m penalty to Morgan Stanley for misleading clients
The US’ Securities and Exchange Commission (SEC) has issued a $5m penalty to Morgan Stanley Smith Barney after it providing misleading information to clients in its retail wrap fees programmes.
SEC to hold virtual coffee meetings with public to discuss coronavirus...
The Securities and Exchange Commission (SEC) is looking to host “virtual coffee breaks” to engage with players in the financial market to discuss impacts of the coronavirus.
Wells Fargo & Co to pay $3bn in fraud case
Wells Fargo & Co has reportedly agreed to pay $3bn as a settlement after a criminal and civil investigation into fraudulent sales practices.
Broadridge Financial prices $750m in senior notes
Broadridge Financial Solutions has priced $750m in senior notes due 2029 in an offering registered with the US Securities and Exchange Commission.
SEC rewards three whistleblowers for helping stop securities fraud
The US Securities and Exchange Commission (SEC) has financially rewarded three individuals for submitting a tip which alerted the regulator to fraud scheme targeting retail investors.
Four US regulators join the Global Financial Innovation Network
Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.
US SEC halts $1.7bn token offering
The US Securities and Exchange Commission (SEC) has halted the $1.7bn digital token offering in the US and overseas of Telegram Group.
US regulatory bodies issue statement on digital assets
US regulators have come together to issue a joint statement reminding those engaged with digital asset to meet anti-money laundering (AML) and counter financing terrorism (CFT).
The SEC alters Dodd-Frank rules for broker-dealers
The Securities and Exchange Commission (SEC) has adopted new recordkeeping and reporting rules for security-based swap dealers and major-based swap participants which increase the need of tracking.
