SEC

SEC opts for early move to T+1 SEC opts for early move to T+1

Industry

SEC opts for early move to T+1

Regulator rejects industry's call for Labour Day 2024 transition

By James Langton |February 15, 2023

3 min read

Crypto insider pleads guilty in tipping case Fallback Image Decorative pattern

Industry

Crypto insider pleads guilty in tipping case

Ex-Coinbase employee admitted guilt in first crypto insider trading scheme

By James Langton |February 7, 2023

1 min read

Firms falling short of ‘best interest’ standards: SEC Firms falling short of ‘best interest’ standards: SEC

Industry

Firms falling short of ‘best interest’ standards: SEC

Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

By James Langton |January 30, 2023

2 min read

Bloomberg sanctioned over bond pricing disclosures Bloomberg sanctioned over bond pricing disclosures

Industry

Bloomberg sanctioned over bond pricing disclosures

Securities prices sometimes relied on single sources, the SEC alleged

By Staff |January 23, 2023

2 min read