Searching Content indexed under Securities by Jonathon Little ordered by Published Date Descending.
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CFTC And SEC To Coordinate Efforts On Virtual Currency Enforcement Actions
On January 25, Securities and Exchange ("SEC") Chairman Jay Clayton and Commodity Futures Trading Commission ("CFTC") Chairman J. Christopher Giancarlo jointly published an op-ed in The Wall Street Journal.
United States
6 Mar 2018
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
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
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
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
SEC Division Of Investment Management Issues Cybersecurity Guidance
Under the guidance, advising funds and advisers should conduct periodic cybersecurity assessments, create strategies to respond to threats, and account for obligations under federal securities laws.
United States
17 Aug 2015
SEC Announces 2015 Examination Priorities With Emphasis On Cybersecurity Practices
On January 13, 2015, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") announced its examination priorities.
United States
4 Mar 2015
SEC Adopts Regulation Systems Compliance And Integrity (Regulation SCI)
On November 19, the Securities Exchange Commission adopted Regulation SCI, which requires certain securities market participants to implement procedures to protect their technological systems and take corrective actions when necessary.
United States
2 Jan 2015
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