The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new data and analysis on the...
CN Editor
April 29, 2025
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