New U.S. Securities and Exchange Commission guidance on disclosure requirements for exchange-traded products tied to ...

Why Cyber Teams Struggle With Quick Disclosure. Despite the SEC's mandate, many companies can’t meet the four-day disclosure deadline. Fifty-two percent of companies don’t have a formal ...

Nearly a year after a fatal shooting that put day traders on edge, the Securities and Exchange Commission approves a rule requiring some brokerage firms to disclose day trading's financial risk ...

The SEC approved the rule last week as a way to regulate the hedge fund and private equity industry more closely and require more disclosures and audited financial statements of each of their funds .

In general, the rule will mandate that entities that experience a cybersecurity incident determine whether it will have a material impact on them, and if it will, they must then fill out the new Item ...

The rule comes after last year’s controversial finish to last season’s game between Missouri and Kentucky. In that game the Tigers were called for roughing-the-kicker late in the game, and the ...

The SEC's current custody rule, added to the Investment Advisers Act in 1962, seeks to provide another layer of investor protection by placing third-party custodians in a position to detect any ...

The following sections summarize some of the highlights in the SEC’s 186-page new rules slated for publication in the Federal Register over the coming days:. Incident disclosure. The Commission ...

The Securities and Exchange Commission (SEC) first proposed new cybersecurity disclosure rules on March 8, 2022. The comment period for the proposed rules closed on May 9, 2022.

Under the SEC Pay-to-Play Rule, an investment adviser is prohibited from receiving compensation for managing a government entity's investments for two years after it, a covered employee, or a PAC ...

Taken together, these amendments will make our market plumbing more resilient, timely, orderly, and efficient,” said SEC Chair Gary Gensler. The final rules will become effective 60 days after ...