The proposals will enhance cyber and technology risk management requirements for key entities that underpin the US securities market.
March 17, 2023SEC commissioners Hester Peirce and Mark Uyeda say the 28 May 2024 effective date does not leave enough time for the market to transition.
February 16, 2023The proposed change is expected to make it more difficult for asset managers to invest in crypto assets on behalf of clients.
February 16, 2023The SEC has asked firms including Point72 Asset Management and Citadel to search employees' personal devices for evidence of business dealings via unapproved channels.
February 8, 2023The proposals include a new best execution regulatory framework, a new order competition rule, and requirements for brokers to provide better disclosures on execution quality.
December 18, 2022KKR & Co, Apollo Global Management and Carlyle Group have disclosed that they are subject to the SEC's regulatory probe.
November 15, 2022The SEC's probe into the use of personal devices and messaging apps has reportedly expanded beyond broker-dealers to include investment funds and advisers.
October 14, 2022The amendments add an audit-trail alternative allowing electronic records to be preserved in a way that permits recreation if original records are altered, over-written, or erased.
October 13, 2022Large firms face penalties with no upper limit if they fail to reasonably monitor for and report suspicious transactions.
October 3, 2022Clearinghouse members will be required to push their clients' secondary market trades and margins collected through the clearinghouse.
September 15, 2022