Iowa-based Cambridge Investment companies to settle SEC complaint for $15 million
Federal regulators accused Cambridge Investment advisors of steering clients to investments that made more money for their ...
Tackling Compliance Challenges and Cybersecurity Risks under Dodd-Frank Section 1033 Open Banking Rule
The authors write "This article summarizes recurring issues and compliance considerations for Data Providers as they grapple ...
US SEC says Trump administration to terminate building leases for Los Angeles, Philadelphia regional offices
The U.S. Securities and Exchange Commission informed staff on Monday the Trump administration is preparing to terminate ...
SEC.co Launches as a Premier Cybersecurity Consulting Firm Founded by Longstanding Cybersecurity and Business Experts
SEC.co has officially launched as a premier cybersecurity consulting firm, founded by seasoned cybersecurity and business experts. SEC.co helps ...
Compliance Week1d
Firm, two execs fined, including ex-CCO, for misappropriating $220K, SEC alleges
Two executives at New York-based Momentum Advisors, including the firm's chief compliance officer, allegedly misappropriated more than $220,000, the Securities and Exchange Commission said.
Crowdfund Insider6d
House Financial Services Committee Leaders Ask SEC to Move to Reverse Harmful Biden Era Rules Impacting Crypto
House Finacial Services Committee leaders have sent a letter to SEC Acting Chairman Mark Uyeda asking him to reverse harmful ...
JD Supra8d
SEC Extends Compliance Dates for UST Repo and Cash Transaction Clearing Rule
On February 25, 2025, the SEC released a statement extending the compliance deadlines to clear ... critical role UST markets play in the global financial system and the importance of proper ...
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Robinhood says SEC has closed its investigation into the company
“Robinhood Crypto always has and will always respect federal securities laws and never allowed transactions in securities,” Dan Gallagher, chief legal, compliance and corporate affairs officer ...
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US SEC says Trump administration to terminate building leases for Los Angeles, Philadelphia regional offices
WASHINGTON, March 3 (Reuters) - The U.S. Securities and Exchange Commission informed staff on Monday the Trump administration is preparing to terminate building leases for its regional offices in ...