From investigating financial crimes to setting public company reporting requirements to educating investors, the Securities and Exchange Commission (SEC) covers a lot of ground in trying to make U ...
One of the best ways a fund manager can prepare for a possible exam and avoid enforcement risk is by developing a comprehensive understanding of the SEC’s exam and enforcement priorities. To help sort ...
On Nov. 13, the United States Securities and Exchange Commission approved the exchange’s application to list on the Nasdaq.
"While the issues of what's in the best interest of an investor will continue to be important, we won't see as much energy ...
Kevin Anders, CEO of UVKXE, stated, “Securing the SEC license is not only a significant milestone in our compliance journey ...
The Japanese crypto exchange Coincheck is nearing a NASDAQ listing after obtaining US Securities and Exchange Commission (SEC ...
After launching an HBAR ETF trust in October, Canary Capital applied with the SEC to list and trade shares of the spot Hedera ...
Republican SEC Commissioner Mark Uyeda suggests pausing new enforcement actions against firms that have failed to register ...
The Justice Department indicted the chief executive of a data-center company Wednesday over an allegedly fake data-center audit used to win business with the U.S. Securities and Exchange Commission.
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