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Searching Content indexed under Securities by Michiru Takahashi ordered by Published Date Descending.
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1
SEC Charges ICO Promoters With Defrauding Investors
On September 29, the SEC brought its first enforcement action in connection with an initial coin offering.
United States
28 Nov 2017
2
SEC Commissioner Discusses Risks Of New Technologies
The SEC's Commission Chairman also took the occasion to discuss the risks of blockchain, and SEC issued guidance on the technology.
United States
27 Nov 2017
3
SEC OCIE Director Discusses Cybersecurity Examinations
On October 17, the director of the SEC's Office of Compliance Inspections and Examinations delivered the keynote address at the National Society of Compliance Professionals 2016 National Conference.
United States
22 Nov 2016
4
SEC Chair Prioritizes Cybersecurity
She outlined the Commission's efforts to address the risks posed by cyber attacks and reaffirmed that Commission staff would continue to focus on cybersecurity and controls in 2016.
United States
14 Sep 2016
5
SEC Brings Enforcement Against Broker-Dealer For Failure To Adopt Policies And To Ensure Security Of Customer Information
The SEC alleged, in part, that the broker-dealer violated securities laws by using email addresses other than those with its domain name to receive faxes containing sensitive customer information.
United States
10 Jun 2016
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