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.

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 Securities and Exchange Commission is facing a lawsuit filed Friday by a group of financial industry trade associations over its recently approved private fund advisor rule, which would require ...

The passage of new cybersecurity regulations by the Securities and Exchange Commission this week has drawn a wide range of reactions, both positive and negative. In general, the rule will mandate that ...

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 federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

The new SEC rules also require registrants to report ransomware payments within 24 hours to report ransomware payments and to submit annual cyber risk management, strategy, and governance reports.

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 ...

The SEC adopted rule changes to reduce risks in clearance and settlement, shortening the standard settlement cycle for most broker-dealer transactions in securities, and proposed two other rules.