The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its new public service c...
CN Editor
June 18, 2024
SEC SECURES SANCTIONS AGAINST "SHAM" ADVISORS
NYSE SEEKS APPROVAL FOR TOKENIZED TRADING
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
SEC SET TO CANCEL ADVISORY FIRMS" REGISTRATIONS
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS